Project Management Institute
A Guide to the Project
Management Body of Knowledge
(PMBOK® Guide) – Fifth EditionISBN 9781935589679
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Library of Congress CataloginginPublication Data
A guide to the project management body of knowledge (PMBOK® guide) Fifth edition
pages cm
Includes bibliographical references and index
ISBN 9781935589679 (pbk alk paper)
1 Project management I Project Management Institute II Title PMBOK guide
HD69P75G845 2013
6584’04dc23
2012046112Notice
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attributable to PMI and is solely the responsibility of the certifier or maker of the statementI©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
TABLE OF CONTENTS
Table of Contents
1 Introduction 1
11 Purpose of the PMBOK® Guide 2
12 What is a Project 3
121 The Relationships Among Portfolios Programs and Projects 4
13 What is Project Management 5
14 Relationships Among Portfolio Management Program Management Project
Management and Organizational Project Management 7
141 Program Management 9
142 Portfolio Management 9
143 Projects and Strategic Planning 10
144 Project Management Office 10
15 Relationship Between Project Management Operations Management and
Organizational Strategy 12
151 Operations and Project Management 12
152 Organizations and Project Management 14
16 Business Value 15
17 Role of the Project Manager 16
171 Responsibilities and Competencies of the Project Manager 17
172 Interpersonal Skills of a Project Manager 17
18 Project Management Body of Knowledge 18
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE 19
21 Organizational Influences on Project Management 20
211 Organizational Cultures and Styles 20
212 Organizational Communications 21
213 Organizational Structures 21
214 Organizational Process Assets 27
215 Enterprise Environmental Factors 29II ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
TABLE OF CONTENTS
22 Project Stakeholders and Governance 30
221 Project Stakeholders 30
222 Project Governance 34
223 Project Success 35
23 Project Team 35
231 Composition of Project Teams 37
24 Project Life Cycle 38
241 Characteristics of the Project Life Cycle 38
242 Project Phases 41
3 PROJECT MANAGEMENT PROCESSES 47
31 Common Project Management Process Interactions 50
32 Project Management Process Groups 52
33 Initiating Process Group 54
34 Planning Process Group 55
35 Executing Process Group 56
36 Monitoring and Controlling Process Group 57
37 Closing Process Group 57
38 Project Information 58
39 Role of the Knowledge Areas 60
4 PROJECT INTEGRATION MANAGEMENT 63
41 Develop Project Charter 66
411 Develop Project Charter Inputs 68
412 Develop Project Charter Tools and Techniques 71
413 Develop Project Charter Outputs 71
42 Develop Project Management Plan 72
421 Develop Project Management Plan Inputs 74
422 Develop Project Management Plan Tools and Techniques 76
423 Develop Project Management Plan Outputs 76III©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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43 Direct and Manage Project Work 79
431 Direct and Manage Project Work Inputs 82
432 Direct and Manage Project Work Tools and Techniques 83
433 Direct and Manage Project Work Outputs 84
44 Monitor and Control Project Work 86
441 Monitor and Control Project Work Inputs 88
442 Monitor and Control Project Work Tools and Techniques 91
443 Monitor and Control Project Work Outputs 92
45 Perform Integrated Change Control 94
451 Perform Integrated Change Control Inputs 97
452 Perform Integrated Change Control Tools and Techniques 98
453 Perform Integrated Change Control Outputs 99
46 Close Project or Phase 100
461 Close Project or Phase Inputs 102
462 Close Project or Phase Tools and Techniques 102
463 Close Project or Phase Outputs 103
5 PROJECT SCOPE MANAGEMENT 105
51 Plan Scope Management 107
511 Plan Scope Management Inputs 108
512 Plan Scope Management Tools and Techniques 109
513 Plan Scope Management Outputs 109
52 Collect Requirements 110
521 Collect Requirements Inputs 113
522 Collect Requirements Tools and Techniques 114
523 Collect Requirements Outputs 117
53 Define Scope 120
531 Define Scope Inputs 121
532 Define Scope Tools and Techniques 122
533 Define Scope Outputs 123IV ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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54 Create WBS 125
541 Create WBS Inputs 127
542 Create WBS Tools and Techniques 128
543 Create WBS Outputs 131
55 Validate Scope 133
551 Validate Scope Inputs 134
552 Validate Scope Tools and Techniques 135
553 Validate Scope Outputs 135
56 Control Scope 136
561 Control Scope Inputs 138
562 Control Scope Tools and Techniques 139
563 Control Scope Outputs 139
6 PROJECT TIME MANAGEMENT 141
61 Plan Schedule Management 145
611 Plan Schedule Management Inputs 146
612 Plan Schedule Management Tools and Techniques 147
613 Plan Schedule Management Outputs 148
62 Define Activities 149
621 Define Activities Inputs 150
622 Define Activities Tools and Techniques 151
623 Define Activities Outputs 152
63 Sequence Activities 153
631 Sequence Activities Inputs 154
632 Sequence Activities Tools and Techniques 156
633 Sequence Activities Outputs 159
64 Estimate Activity Resources 160
641 Estimate Activity Resources Inputs 162
642 Estimate Activity Resources Tools and Techniques 164
643 Estimate Activity Resources Outputs 165V©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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65 Estimate Activity Durations 165
651 Estimate Activity Durations Inputs 167
652 Estimate Activity Durations Tools and Techniques 169
653 Estimate Activity Durations Outputs 172
66 Develop Schedule 172
661 Develop Schedule Inputs 174
662 Develop Schedule Tools and Techniques 176
663 Develop Schedule Outputs 181
67 Control Schedule 185
671 Control Schedule Inputs 187
672 Control Schedule Tools and Techniques 188
673 Control Schedule Outputs 190
7 PROJECT COST MANAGEMENT 193
71 Plan Cost Management 195
711 Plan Cost Management Inputs 196
712 Plan Cost Management Tools and Techniques 198
713 Plan Cost Management Outputs 198
72 Estimate Costs 200
721 Estimate Costs Inputs 202
722 Estimate Costs Tools and Techniques 204
723 Estimate Costs Outputs 207
73 Determine Budget 208
731 Determine Budget Inputs 209
732 Determine Budget Tools and Techniques 211
733 Determine Budget Outputs 212
74 Control Costs 215
741 Control Costs Inputs 216
742 Control Costs Tools and Techniques 217
743 Control Costs Outputs 225VI ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
TABLE OF CONTENTS
8 PROJECT QUALITY MANAGEMENT 227
81 Plan Quality Management 231
811 Plan Quality Management Inputs 233
812 Plan Quality Management Tools and Techniques 235
813 Plan Quality Management Outputs 241
82 Perform Quality Assurance 242
821 Perform Quality Assurance Inputs 244
822 Perform Quality Assurance Tools and Techniques 245
823 Perform Quality Assurance Outputs 247
83 Control Quality 248
831 Control Quality Inputs 250
832 Control Quality Tools and Techniques 252
833 Control Quality Outputs 252
9 PROJECT HUMAN RESOURCE MANAGEMENT 255
91 Plan Human Resource Management 258
911 Plan Human Resource Management Inputs 259
912 Plan Human Resource Management Tools and Techniques 261
913 Plan Human Resource Management Outputs 264
92 Acquire Project Team 267
921 Acquire Project Team Inputs 269
922 Acquire Project Team Tools and Techniques 270
923 Acquire Project Team Outputs 272
93 Develop Project Team 273
931 Develop Project Team Inputs 274
932 Develop Project Team Tools and Techniques 275
933 Develop Project Team Outputs 278
94 Manage Project Team 279
941 Manage Project Team Inputs 281
942 Manage Project Team Tools and Techniques 282
943 Manage Project Team Outputs 284VII©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
TABLE OF CONTENTS
10 PROJECT COMMUNICATIONS MANAGEMENT 287
101 Plan Communications Management 289
1011 Plan Communications Management Inputs 290
1012 Plan Communications Management Tools and Techniques 291
1013 Plan Communications Management Outputs296
102 Manage Communications 297
1021 Manage Communications Inputs 299
1022 Manage Communications Tools and Techniques 300
1023 Manage Communications Outputs 301
103 Control Communications 303
1031 Control Communications Inputs 304
1032 Control Communications Tools and Techniques 306
1033 Control Communications Outputs 307
11 PROJECT RISK MANAGEMENT 309
111 Plan Risk Management 313
1111 Plan Risk Management Inputs 314
1112 Plan Risk Management Tools and Techniques 315
1113 Plan Risk Management Outputs 316
112 Identify Risks 319
1121 Identify Risks Inputs 321
1122 Identify Risks Tools and Techniques 324
1123 Identify Risks Outputs 327
113 Perform Qualitative Risk Analysis 328
1131 Perform Qualitative Risk Analysis Inputs 329
1132 Perform Qualitative Risk Analysis Tools and Techniques 330
1133 Perform Qualitative Risk Analysis Outputs 333
114 Perform Quantitative Risk Analysis 333
1141 Perform Quantitative Risk Analysis Inputs 335
1142 Perform Quantitative Risk Analysis Tools and Techniques 336
1143 Perform Quantitative Risk Analysis Outputs 341VIII ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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115 Plan Risk Responses 342
1151 Plan Risk Responses Inputs 343
1152 Plan Risk Responses Tools and Techniques 343
1153 Plan Risk Responses Outputs 346
116 Control Risks 349
1161 Control Risks Inputs 350
1162 Control Risks Tools and Techniques 351
1163 Control Risks Outputs 353
12 PROJECT PROCUREMENT MANAGEMENT 355
121 Plan Procurement Management 358
1211 Plan Procurement Management Inputs 360
1212 Plan Procurement Management Tools and Techniques 365
1213 Plan Procurement Management Outputs 366
122 Conduct Procurements 371
1221 Conduct Procurements Inputs 373
1222 Conduct Procurements Tools and Techniques 375
1223 Conduct Procurements Outputs 377
123 Control Procurements 379
1231 Control Procurements Inputs 381
1232 Control Procurements Tools and Techniques 383
1233 Control Procurements Outputs 384
124 Close Procurements 386
1241 Close Procurements Inputs 388
1242 Close Procurements Tools and Techniques 388
1243 Close Procurements Outputs 389
13 PROJECT STAKEHOLDER MANAGEMENT 391
131 Identify Stakeholders 393
1311 Identify Stakeholders Inputs 394
1312 Identify Stakeholders Tools and Techniques 395
1313 Identify Stakeholders Outputs 398IX©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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132 Plan Stakeholder Management 399
1321 Plan Stakeholder Management Inputs 400
1322 Plan Stakeholder Management Tools and Techniques 401
1323 Plan Stakeholder Management Outputs 403
133 Manage Stakeholder Engagement 404
1331 Manage Stakeholder Engagement Inputs 406
1332 Manage Stakeholder Engagement Tools and Techniques 407
1333 Manage Stakeholder Engagement Outputs 408
134 Control Stakeholder Engagement 409
1341 Control Stakeholder Engagement Inputs 411
1342 Control Stakeholder Engagement Tools and Techniques 412
1343 Control Stakeholder Engagement Outputs 413
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT 417
APPENDIX X1 FIFTH EDITION CHANGES 463
Appendix X2 Contributors and Reviewers of the PMBOK® Guide –
Fifth Edition 483
APPENDIX X3 INTERPERSONAL SKILLS 513
REFERENCES 521
Glossary 523
INDEX 569XI©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
List of TABLES and Figures
Figure 11 Portfolio Program and Project Management Interactions5
Figure 21 Functional Organization22
Figure 22 Weak Matrix Organization23
Figure 23 Balanced Matrix Organization24
Figure 24 Strong Matrix Organization24
Figure 25 Projectized Organization25
Figure 26 composite Organization26
Figure 27 the Relationship Between Stakeholders and the Project31
Figure 28 typical Cost and Staffing Levels Across a Generic Project Life Cycle Structure39
Figure 29 Impact of Variable Based on Project Time40
Figure 210 Example of a SinglePhase Project42
Figure 211 Example of a ThreePhase Project43
Figure 212 Example of a Project with Overlapping Phases43
Figure 213 Example of Predictive Life Cycle44
Figure 31 Project Management Process Groups50
Figure 32 Process Groups Interact in a Phase or Project51
Figure 33 Project Management Process Interactions53
Figure 34 Project Boundaries54
Figure 35 Project Data Information and Report Flow59
Figure 36 data Flow Diagram Legend60
Figure 41 Project Integration Management Overview65XII ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure 42 develop Project Charter Inputs Tools and Techniques and Outputs66
Figure 43 develop Project Charter Data Flow Diagram67
Figure 43 develop Project Charter Data Flow Diagram72
Figure 45 develop Project Management Plan Data Flow Diagram73
Figure 46 direct and Manage Project Work Inputs Tools and Techniques and Outputs79
Figure 47 direct and Manage Project Work Data Flow Diagram80
Figure 48 Monitor and Control Project Work Inputs Tools & Techniques and Outputs86
Figure 49 Monitor and Control Project Work Data Flow Diagram87
Figure 410 Perform Integrated Change Control Inputs Tools & Techniques and Outputs94
Figure 411 Perform Integrated Change Control Data Flow Diagram95
Figure 412 close Project or Phase Inputs Tools & Techniques and Outputs100
Figure 413 close Project or Phase Data Flow Diagram101
Figure 51 Project Scope Management Overview106
Figure 52 Plan Scope Management Inputs Tools & Techniques and Outputs107
Figure 53 Plan Scope Management Data Flow Diagram107
Figure 54 collect Requirements Inputs Tools & Techniques and Outputs111
Figure 55 collect Requirements Data Flow Diagram111
Figure 56 Example of a Requirements Traceability Matrix119
Figure 57 define Scope Inputs Tools & Techniques and Outputs120
Figure 58 define Scope Data Flow Diagram120
Figure 59 create WBS Inputs Tools & Techniques and Outputs125
Figure 510 create WBS Data Flow Diagram126XIII©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure 511 Sample WBS Decomposed Down Through Work Packages129
Figure 512 Sample WBS Organized by Phase130
Figure 513 Sample WBS with Major Deliverables130
Figure 514 Validate Scope Inputs Tools & Techniques and Outputs133
Figure 515 Validate Scope Data Flow Diagram133
Figure 516 control Scope Inputs Tools & Techniques and Outputs136
Figure 517 control Scope Data Flow Diagram137
Figure 61 Project Time Management Overview143
Figure 62 Scheduling Overview144
Figure 63 Plan Schedule Management Inputs Tools & Techniques and Outputs145
Figure 64 Plan Schedule Management Data Flow Diagram145
Figure 65 define Activities Inputs Tools & Techniques and Outputs149
Figure 66 define Activities Data Flow Diagram150
Figure 67 Sequence Activities Inputs Tools & Techniques and Outputs153
Figure 68 Sequence Activities Data Flow Diagram154
Figure 69 Precedence Diagramming Method (PDM) Relationship Types157
Figure 610 Examples of Lead and Lag158
Figure 611 Project Schedule Network Diagram160
Figure 612 Estimate Activity Resources Inputs Tools & Techniques and Outputs161
Figure 613 Estimate Activity Resources Data Flow Diagram161
Figure 614 Estimate Activity Durations Inputs Tools & Techniques and Outputs166
Figure 615 Estimate Activity Durations Data Flow Diagram166XIV ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure 616 develop Schedule Inputs Tools & Techniques and Outputs173
Figure 617 develop Schedule Data Flow Diagram173
Figure 618 Example of Critical Path Method177
Figure 619 Example of Critical Chain Method178
Figure 620 resource Leveling179
Figure 621 Project Schedule Presentations —Examples183
Figure 622 control Schedule Inputs Tools & Techniques and Outputs185
Figure 623 control Schedule Data Flow Diagram186
Figure 71 Project Cost Management Overview194
Figure 72 Plan Cost Management Inputs Tools & Techniques and Outputs195
Figure 73 Plan Cost Management Data Flow Diagram196
Figure 74 Estimate Costs Inputs Tools & Techniques and Outputs200
Figure 75 Estimate Costs Data Flow Diagram201
Figure 76 determine Budget Inputs Tools & Techniques and Outputs208
Figure 77 determine Budget Data Flow Diagram209
Figure 78 Project Budget Components213
Figure 79 cost Baseline Expenditures and Funding Requirements214
Figure 710 control Costs Inputs Tools & Techniques and Outputs215
Figure 711 control Costs Data Flow Diagram215
Figure 712 Earned Value Planned Value and Actual Costs219
Figure 713 toComplete Performance Index (TCPI)222XV©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure 81 Project Quality Management Overview230
Figure 82 Fundamental Relationships of Quality Assurance and Control Quality to the IPECC
PDCA Cost of Quality Models and Project Management Process Groups231
Figure 83 Plan Quality Management Inputs Tools & Techniques and Outputs232
Figure 84 Plan Quality Management Data Flow Diagram232
Figure 85 cost of Quality235
Figure 86 the SIPOC Model237
Figure 87 Storyboard Illustrating a Conceptual Example of Each of the Seven
Basic Quality Tools239
Figure 88 Perform Quality Assurance Inputs Tools & Techniques and Outputs243
Figure 89 Perform Quality Assurance Data Flow Diagram243
Figure 810 Storyboard Illustrating the Seven Quality Management and Control Tools246
Figure 811 control Quality Inputs Tools & Techniques and Outputs249
Figure 812 control Quality Data Flow Diagram249
Figure 91 Project Human Resource Management Overview257
Figure 92 Plan Human Resource Management Inputs Tools & Techniques and Outputs258
Figure 93 Plan Human Resource Management Data Flow Diagram258
Figure 94 roles and Responsibility Definition Formats261
Figure 95 rACI Matrix262
Figure 96 Illustrative Resource Histogram266
Figure 97 Acquire Project Team Inputs Tools & Techniques and Outputs267
Figure 98 Acquire Project Team Data Flow Diagram268XVI ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure 99 develop Project Team Inputs Tools & Techniques and Outputs273
Figure 910 develop Project Team Data Flow Diagram273
Figure 911 Manage Project Team Inputs Tools & Techniques and Outputs279
Figure 912 Manage Project Team Data Flow Diagram280
Figure 101 Project Communications Management Overview288
Figure 102 Plan Communications Management Inputs Tools & Techniques and Outputs289
Figure 103 Plan Communications Management Data Flow Diagram289
Figure 104 Basic Communication Model294
Figure 105 Manage Communications Inputs Tools & Techniques and Outputs297
Figure 106 Manage Communications Data Flow Diagram298
Figure 107 control Communications Inputs Tools & Techniques and Outputs303
Figure 108 control Communications Data Flow Diagram304
Figure 111 Project Risk Management Overview312
Figure 112 Plan Risk Management Inputs Tools & Techniques and Outputs313
Figure 113 Plan Risk Management Data Flow Diagram313
Figure 114 Example of a Risk Breakdown Structure (RBS)317
Figure 115 Identify Risks Inputs Tools & Techniques and Outputs319
Figure 116 Identify Risks Data Flow Diagram320
Figure 117 Influence Diagram326
Figure 118 Perform Qualitative Risk Analysis Inputs Tools & Techniques and Outputs328
Figure 119 Perform Qualitative Risk Analysis Data Flow Diagram328
Figure 1110 Probability and Impact Matrix331XVII©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure 1111 Perform Quantitative Risk Analysis Inputs Tools & Techniques and Outputs334
Figure 1112 Perform Quantitative Risk Analysis Data Flow Diagram334
Figure 1113 Range of Project Cost Estimates Collected During the Risk Interview336
Figure 1114 Examples of Commonly Used Probability Distributions337
Figure 1115 Example of Tornado Diagram338
Figure 1116 Decision Tree Diagram339
Figure 1117 Cost Risk Simulation Results340
Figure 1118 Plan Risk Responses Inputs Tools & Techniques and Outputs342
Figure 1119 Plan Risk Responses Data Flow Diagram342
Figure 1120 Control Risks Inputs Tools & Techniques and Outputs349
Figure 1121 Control Risks Data Flow Diagram349
Figure 121 Project Procurement Management Overview356
Figure 122 Plan Procurements Inputs Tools & Techniques and Outputs358
Figure 123 Plan Procurement Management Data Flow Diagram359
Figure 124 conduct Procurements Inputs Tools & Techniques and Outputs371
Figure 125 conduct Procurements Data Flow Diagram372
Figure 126 control Procurements Inputs Tools & Techniques and Outputs379
Figure 127 control Procurements Data Flow Diagram380
Figure 128 close Procurements Inputs Tools & Techniques and Outputs386
Figure 129 close Procurements Data Flow Diagram387
Figure 131 Project Stakeholder Management Overview392
Figure 132 Identify Stakeholders Inputs Tools & Techniques and Outputs393XVIII ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure 133 Identify Stakeholders Data Flow Diagram393
Figure 134 Example PowerInterest Grid with Stakeholders397
Figure 135 Plan Stakeholder Management Inputs Tools & Techniques and Outputs399
Figure 136 Plan Stakeholder Management Data Flow Diagram399
Figure 137 Stakeholders Engagement Assessment Matrix403
Figure 138 Manage Stakeholder Engagement Inputs Tools & Techniques and Outputs404
Figure 139 Manage Stakeholder Engagement Data Flow Diagram405
Figure 1310 Control Stakeholder Engagement Inputs Tools & Techniques and Outputs410
Figure 1311 Control Stakeholder Engagement Data Flow Diagram410
Figure A11 Process Group Interactions in a Project419
Figure A12 Project Management Process Interactions421
Figure A13 Project Boundaries425
Figure A14 Initiating Process Group425
Figure A15 develop Project Charter Inputs and Outputs426
Figure A16 Identify Stakeholders Inputs and Outputs426
Figure A17 Planning Process Group428
Figure A18 develop Project Management Plan Inputs and Outputs429
Figure A19 Plan Scope Management Inputs and Outputs429
Figure A110 Collect Requirements Inputs and Outputs430
Figure A111 Define Scope Inputs and Outputs430
Figure A112 Create WBS Inputs and Outputs431
Figure A113 Plan Schedule Management Inputs and Outputs431XIX©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure A114 Define Activities Inputs and Outputs432
Figure A115 Sequence Activities Inputs and Outputs432
Figure A116 Estimate Activity Resources Inputs and Outputs433
Figure A117 Estimate Activity Durations Inputs and Outputs434
Figure A118 Develop Schedule Inputs and Outputs435
Figure A119 Plan Cost Management Inputs and Outputs436
Figure A120 Estimate Costs Inputs and Outputs436
Figure A121 Determine Budget Inputs and Outputs437
Figure A122 Plan Quality Management Inputs and Outputs438
Figure A123 Plan Human Resource Management Inputs and Outputs438
Figure A124 Plan Communications Management Inputs and Outputs439
Figure A125 Plan Risk Management Inputs and Outputs439
Figure A126 Identify Risks Inputs and Outputs440
Figure A127 Perform Qualitative Risk Analysis Inputs and Outputs441
Figure A128 Perform Quantitative Risk Analysis Inputs and Outputs441
Figure A129 Plan Risk Responses Inputs and Outputs442
Figure A130 Plan Procurement Management Inputs and Outputs443
Figure A131 Plan Stakeholder Management Inputs and Outputs443
Figure A132 Executing Process Group445
Figure A133 Direct and Manage Project Work Inputs and Outputs446
Figure A134 Perform Quality Assurance Inputs and Outputs446
Figure A135 Acquire Project Team Inputs and Outputs447XX ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure A136 Develop Project Team Inputs and Outputs447
Figure A137 Manage Project Team Inputs and Outputs448
Figure A138 Manage Communications Inputs and Outputs448
Figure A139 Conduct Procurements Inputs and Outputs449
Figure A140 Manage Stakeholder Engagement Inputs and Outputs450
Figure A141 Monitoring and Controlling Process Group451
Figure A142 Monitor and Control Project Work Inputs and Outputs452
Figure A143 Perform Integrated Change Control Inputs and Outputs453
Figure A144 Validate Scope Inputs and Outputs453
Figure A145 Control Scope Inputs and Outputs454
Figure A146 Control Schedule Inputs and Outputs455
Figure A147 Control Costs Inputs and Outputs455
Figure A148 Control Quality Inputs and Outputs456
Figure A149 Control Communications Inputs and Outputs457
Figure A150 Control Risks Inputs and Outputs457
Figure A151 Control Procurements Inputs and Outputs458
Figure A152 Control Stakeholder Engagement Inputs and Outputs459
Figure A153 Closing Process Group460
Figure A154 Close Project or Phase Inputs and Outputs461
Figure A155 Close Procurements Inputs and Outputs461XXI©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure X11 refined Data Model467
Table 11 comparative Overview of Project Program and Portfolio Management8
Table 21 Influence of Organizational Structures on Projects22
Table 31 Project Management Process Group and Knowledge Area Mapping61
Table 41 differentiation Between the Project Management Plan and Project Documents78
Table 51 Elements of the Project Charter and Project Scope Statement124
Table 71 Earned Value Calculations Summary Table224
Table 111 definition of Impact Scales for Four Project Objectives318
Table A11 Project Management Process Group and Knowledge Area Mapping423
Table X11 Section 4 Changes472
Table X12 Section 5 Changes473
Table X13 Section 6 Changes474
Table X14 Section 7 Changes475
Table X15 Section 8 Changes476
Table X16 Section 9 Changes477
Table X17 Section 10 Changes478
Table X18 Section 11 Changes479
Table X19 Section 12 Changes480
Table X110 Section 13 Changes4811©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1
1 INTRODUCTION
Introduction
A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition provides guidelines
for managing individual projects and defines project management related concepts It also describes the project
management life cycle and its related processes as well as the project life cycle
The PMBOK® Guide contains the globally recognized standard and guide for the project management profession
(found in Annex A1) A standard is a formal document that describes established norms methods processes and
practices As with other professions the knowledge contained in this standard has evolved from the recognized
good practices of project management practitioners who have contributed to the development of this standard
The first two sections of the PMBOK® Guide provide an introduction to key concepts in the project management
field Section 3 summarizes the Process Groups and provides an overview of process interactions among the ten
Knowledge Areas and five Process Groups Sections 4 through 13 are the guide to the project management body of
knowledge These sections expand on the information in the standard by describing the inputs and outputs as well
as tools and techniques used in managing projects Annex A1 is the standard for project management and presents
the processes inputs and outputs that are considered to be good practice on most projects most of the time
This section defines several key terms and the relationship among portfolio management program management
project management and organizational project management An overview of the PMBOK® Guide is found within
the following sections
11 Purpose of the PMBOK® Guide
12 What is a Project
13 What is Project Management
14 Relationships Among Portfolio Management Program Management
Project Managementand Organizational Project Management
15 Relationship Between Project Management Operations Management
and Organizational Strategy
16 Business Value
17 Role of the Project Manager
18 Project Management Body of Knowledge
112 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
11 Purpose of the PMBOK® Guide
The acceptance of project management as a profession indicates that the application of knowledge processes
skills tools and techniques can have a significant impact on project success The PMBOK® Guide identifies that
subset of the project management body of knowledge that is generally recognized as good practice Generally
recognized means the knowledge and practices described are applicable to most projects most of the time and
there is consensus about their value and usefulness Good practice means there is general agreement that the
application of the knowledge skills tools and techniques can enhance the chances of success over many projects
Good practice does not mean that the knowledge described should always be applied uniformly to all projects the
organization andor project management team is responsible for determining what is appropriate for any given project
The PMBOK® Guide also provides and promotes a common vocabulary within the project management
profession for using and applying project management concepts A common vocabulary is an essential element of
a professional discipline The PMI Lexicon of Project Management Terms [1]1 provides the foundational professional
vocabulary that can be consistently used by project program and portfolio managers and other stakeholders
Annex A1 is a foundational reference for PMI’s project management professional development programs Annex
A1 continues to evolve along with the profession and is therefore not allinclusive this standard is a guide rather
than a specific methodology One can use different methodologies and tools (eg agile waterfall PRINCE2) to
implement the project management framework
In addition to the standards that establish guidelines for project management processes the Project Management
Institute Code of Ethics and Professional Conduct [2] guides practitioners of the profession and describes the
expectations that practitioners should hold for themselves and others The Project Management Institute Code
of Ethics and Professional Conduct is specific about the basic obligation of responsibility respect fairness and
honesty It requires that practitioners demonstrate a commitment to ethical and professional conduct It carries
the obligation to comply with laws regulations and organizational and professional policies Practitioners come
from diverse backgrounds and cultures and the Project Management Institute Code of Ethics and Professional
Conduct applies globally When interacting with any stakeholder practitioners should be committed to honest
responsible fair practices and respectful dealings Acceptance of the code is essential for project managers and is
a requirement for the following PMI® exams
• Certified Associate in Project Management (CAPM)®
• Project Management Professional (PMP)®
• Program Management Professional (PgMP)®
• PMI Agile Certified Practitioner (PMIACP)SM
• PMI Risk Management Professional (PMIRMP)®
• PMI Scheduling Professional (PMISP)®
1The numbers in brackets refer to the list of references at the end of this standard3©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1 INTRODUCTION
12 What is a Project
A project is a temporary endeavor undertaken to create a unique product service or result The temporary
nature of projects indicates that a project has a definite beginning and end The end is reached when the project’s
objectives have been achieved or when the project is terminated because its objectives will not or cannot be met
or when the need for the project no longer exists A project may also be terminated if the client (customer sponsor
or champion) wishes to terminate the project Temporary does not necessarily mean the duration of the project
is short It refers to the project’s engagement and its longevity Temporary does not typically apply to the product
service or result created by the project most projects are undertaken to create a lasting outcome For example a
project to build a national monument will create a result expected to last for centuries Projects can also have social
economic and environmental impacts that far outlive the projects themselves
Every project creates a unique product service or result The outcome of the project may be tangible or
intangible Although repetitive elements may be present in some project deliverables and activities this repetition
does not change the fundamental unique characteristics of the project work For example office buildings can
be constructed with the same or similar materials and by the same or different teams However each building
project remains unique with a different location different design different circumstances and situations different
stakeholders and so on
An ongoing work effort is generally a repetitive process that follows an organization’s existing procedures
In contrast because of the unique nature of projects there may be uncertainties or differences in the products
services or results that the project creates Project activities can be new to members of a project team which
may necessitate more dedicated planning than other routine work In addition projects are undertaken at all
organizational levels A project can involve a single individual or multiple individuals a single organizational unit or
multiple organizational units from multiple organizations
A project can create
• A product that can be either a component of another item an enhancement of an item or an end item
in itself
• A service or a capability to perform a service (eg a business function that supports production or
distribution)
• An improvement in the existing product or service lines (eg A Six Sigma project undertaken to reduce
defects) or
• A result such as an outcome or document (eg a research project that develops knowledge that can be
used to determine whether a trend exists or a new process will benefit society)4 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
Examples of projects include but are not limited to
• Developing a new product service or result
• Effecting a change in the structure processes staffing or style of an organization
• Developing or acquiring a new or modified information system (hardware or software)
• Conducting a research effort whose outcome will be aptly recorded
• Constructing a building industrial plant or infrastructure or
• Implementing improving or enhancing existing business processes and procedures
121 The Relationships Among Portfolios Programs and Projects
The relationship among portfolios programs and projects is such that a portfolio refers to a collection of projects
programs subportfolios and operations managed as a group to achieve strategic objectives Programs are grouped
within a portfolio and are comprised of subprograms projects or other work that are managed in a coordinated
fashion in support of the portfolio Individual projects that are either within or outside of a program are still considered
part of a portfolio Although the projects or programs within the portfolio may not necessarily be interdependent or
directly related they are linked to the organization’s strategic plan by means of the organization’s portfolio
As Figure 11 illustrates organizational strategies and priorities are linked and have relationships between
portfolios and programs and between programs and individual projects Organizational planning impacts
the projects by means of project prioritization based on risk funding and other considerations relevant to the
organization’s strategic plan Organizational planning can direct the management of resources and support for the
component projects on the basis of risk categories specific lines of business or general types of projects such as
infrastructure and process improvement5©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1 INTRODUCTION
Projects
Portfolio
Subportfolios
Programs
Subprograms
Projects
Projects
Projects
• Strategies and priorities
• Progressive elaboration
• Governance
• Disposition on requested changes
• Impacts from changes in other
portfolios programs or projects
• Strategies and priorities
• Progressive elaboration
• Governance
• Disposition on requested changes
• Impacts from changes in other
portfolios programs or projects
• Strategies and priorities
• Progressive elaboration
• Governance
• Disposition on requested changes
• Impacts from changes in other
portfolios programs or projects
• Performance reports
• Change requests with
impact on other portfolios
programs or projects
• Performance reports
• Change requests with
impact on other portfolios
programs or projects
• Performance reports
• Change requests with
impact on other portfolios
programs or projects
Programs
Subprograms
Projects
Projects
Figure 11 Portfolio Program and Project Management Interactions
13 What is Project Management
Project management is the application of knowledge skills tools and techniques to project activities to meet the
project requirements Project management is accomplished through the appropriate application and integration of
the 47 logically grouped project management processes which are categorized into five Process Groups These five
Process Groups are
• Initiating
• Planning
• Executing
• Monitoring and Controlling and
• Closing6 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
Managing a project typically includes but is not limited to
• Identifying requirements
• Addressing the various needs concerns and expectations of the stakeholders in planning and executing
the project
• Setting up maintaining and carrying out communications among stakeholders that are active effective
and collaborative in nature
• Managing stakeholders towards meeting project requirements and creating project deliverables
• Balancing the competing project constraints which include but are not limited to
○○ Scope
○○ Quality
○○ Schedule
○○ Budget
○○ Resources and
○○ Risks
The specific project characteristics and circumstances can influence the constraints on which the project
management team needs to focus
The relationship among these factors is such that if any one factor changes at least one other factor is likely
to be affected For example if the schedule is shortened often the budget needs to be increased to add additional
resources to complete the same amount of work in less time If a budget increase is not possible the scope or
targeted quality may be reduced to deliver the project’s end result in less time within the same budget amount
Project stakeholders may have differing ideas as to which factors are the most important creating an even greater
challenge Changing the project requirements or objectives may create additional risks The project team needs to
be able to assess the situation balance the demands and maintain proactive communication with stakeholders in
order to deliver a successful project
Due to the potential for change the development of the project management plan is an iterative activity and is
progressively elaborated throughout the project’s life cycle Progressive elaboration involves continuously improving
and detailing a plan as more detailed and specific information and more accurate estimates become available
Progressive elaboration allows a project management team to define work and manage it to a greater level of detail
as the project evolves7©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1 INTRODUCTION
14 Relationships Among Portfolio Management Program Management
Project Management and Organizational Project Management
In order to understand portfolio program and project management it is important to recognize the similarities
and differences among these disciplines It is also helpful to understand how they relate to organizational project
management (OPM) OPM is a strategy execution framework utilizing project program and portfolio management
as well as organizational enabling practices to consistently and predictably deliver organizational strategy producing
better performance better results and a sustainable competitive advantage
Portfolio program and project management are aligned with or driven by organizational strategies Conversely
portfolio program and project management differ in the way each contributes to the achievement of strategic goals
Portfolio management aligns with organizational strategies by selecting the right programs or projects prioritizing
the work and providing the needed resources whereas program management harmonizes its projects and program
components and controls interdependencies in order to realize specified benefits Project management develops
and implements plans to achieve a specific scope that is driven by the objectives of the program or portfolio it is
subjected to and ultimately to organizational strategies OPM advances organizational capability by linking project
program and portfolio management principles and practices with organizational enablers (eg structural cultural
technological and human resource practices) to support strategic goals An organization measures its capabilities
then plans and implements improvements towards the systematic achievement of best practices
Table 11 shows the comparison of project program and portfolio views across several dimensions within
the organization8 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
Table 11 Comparative Overview of Project Program and Portfolio Management
Organizational Project Management
Projects Programs Portfolios
Projects have defined
objectives Scope is progres
sively elaborated throughout the
project life cycle
Project managers expect change
and implement processes to
keep change managed and
controlled
Project managers progressively
elaborate highlevel information
into detailed plans throughout
the project life cycle
Project managers manage the
project team to meet the project
objectives
Success is measured by product
and project quality timeliness
budget compliance and degree
of customer satisfaction
Project managers monitor and
control the work of producing
the products services or results
that the project was undertaken
to produce
Programs have a larger scope
and provide more significant
benefits
Program managers expect
change from both inside and
outside the program and are
prepared to manage it
Program managers develop the
overall program plan and create
highlevel plans to guide
detailed planning at the
component level
Program managers manage the
program staff and the project
managers they provide vision
and overall leadership
Success is measured by the
degree to which the program
satisfies the needs and benefits
for which it was undertaken
Program managers monitor
the progress of program
components to ensure the
overall goals schedules budget
and benefits of the program will
be met
Portfolios have an organizational
scope that changes with the
strategic objectives of the
organization
Portfolio managers continuously
monitor changes in the
broader internal and external
environment
Portfolio managers create and
maintain necessary processes
and communication relative to
the aggregate portfolio
Portfolio managers may manage
or coordinate portfolio
management staff or program
and project staff that may have
reporting responsibilities into
the aggregate portfolio
Success is measured in terms
of the aggregate investment
performance and benefit
realization of the portfolio
Portfolio managers monitor
strategic changes and aggregate
resource allocation
performance results and risk
of the portfolio
Scope
Change
Planning
Management
Success
Monitoring9©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1 INTRODUCTION
141 Program Management
A program is defined as a group of related projects subprograms and program activities managed in a
coordinated way to obtain benefits not available from managing them individually Programs may include elements
of related work outside the scope of the discrete projects in the program A project may or may not be part of a
program but a program will always have projects
Program management is the application of knowledge skills tools and techniques to a program in order to
meet the program requirements and to obtain benefits and control not available by managing projects individually
Projects within a program are related through the common outcome or collective capability If the relationship
between projects is only that of a shared client seller technology or resource the effort should be managed as a
portfolio of projects rather than as a program
Program management focuses on the project interdependencies and helps to determine the optimal approach
for managing them Actions related to these interdependencies may include
• Resolving resource constraints andor conflicts that affect multiple projects within the program
• Aligning organizationalstrategic direction that affects project and program goals and objectives and
• Resolving issues and change management within a shared governance structure
An example of a program is a new communications satellite system with projects for design of the satellite and
the ground stations the construction of each the integration of the system and the launch of the satellite
142 Portfolio Management
A portfolio refers to projects programs subportfolios and operations managed as a group to achieve strategic
objectives The projects or programs of the portfolio may not necessarily be interdependent or directly related For
example an infrastructure firm that has the strategic objective of maximizing the return on its investments may
put together a portfolio that includes a mix of projects in oil and gas power water roads rail and airports From
this mix the firm may choose to manage related projects as one program All of the power projects may be grouped
together as a power program Similarly all of the water projects may be grouped together as a water program
Thus the power program and the water program become integral components of the enterprise portfolio of the
infrastructure firm10 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
Portfolio management refers to the centralized management of one or more portfolios to achieve strategic
objectives Portfolio management focuses on ensuring that projects and programs are reviewed to prioritize
resource allocation and that the management of the portfolio is consistent with and aligned to organizational
strategies
143 Projects and Strategic Planning
Projects are often utilized as a means of directly or indirectly achieving objectives within an organization’s
strategic plan Projects are typically authorized as a result of one or more of the following strategic considerations
• Market demand (eg a car company authorizing a project to build more fuelefficient cars in response
to gasoline shortages)
• Strategic opportunitybusiness need (eg a training company authorizing a project to create a new
course to increase its revenues)
• Social need (eg a nongovernmental organization in a developing country authorizing a project to provide
potable water systems latrines and sanitation education to communities suffering from high rates of
infectious diseases)
• Environmental consideration (eg a public company authorizing a project to create a new service for
electric car sharing to reduce pollution)
• Customer request (eg an electric utility authorizing a project to build a new substation to serve a new
industrial park)
• Technological advance (eg an electronics firm authorizing a new project to develop a faster cheaper and
smaller laptop based on advances in computer memory and electronics technology) and
• Legal requirement (eg a chemical manufacturer authorizing a project to establish guidelines for proper
handling of a new toxic material)
144 Project Management Office
A project management office (PMO) is a management structure that standardizes the projectrelated governance
processes and facilitates the sharing of resources methodologies tools and techniques The responsibilities of a
PMO can range from providing project management support functions to actually being responsible for the direct
management of one or more projects
There are several types of PMO structures in organizations each varying in the degree of control and influence
they have on projects within the organization such as11©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1 INTRODUCTION
• Supportive Supportive PMOs provide a consultative role to projects by supplying templates best
practices training access to information and lessons learned from other projects This type of PMO
serves as a project repository The degree of control provided by the PMO is low
• Controlling Controlling PMOs provide support and require compliance through various means
Compliance may involve adopting project management frameworks or methodologies using specific
templates forms and tools or conformance to governance The degree of control provided by the PMO
is moderate
• Directive Directive PMOs take control of the projects by directly managing the projects The degree of
control provided by the PMO is high
The PMO integrates data and information from corporate strategic projects and evaluates how higher level
strategic objectives are being fulfilled The PMO is the natural liaison between the organization’s portfolios
programs projects and the corporate measurement systems (eg balanced scorecard)
The projects supported or administered by the PMO may not be related other than by being managed together
The specific form function and structure of a PMO are dependent upon the needs of the organization that it
supports
A PMO may have the authority to act as an integral stakeholder and a key decision maker throughout the life
of each project to make recommendations or to terminate projects or take other actions as required to remain
aligned with the business objectives In addition the PMO may be involved in the selection management and
deployment of shared or dedicated project resources
A primary function of a PMO is to support project managers in a variety of ways which may include but are not
limited to
• Managing shared resources across all projects administered by the PMO
• Identifying and developing project management methodology best practices and standards
• Coaching mentoring training and oversight
• Monitoring compliance with project management standards policies procedures and templates by means
of project audits
• Developing and managing project policies procedures templates and other shared documentation
(organizational process assets) and
• Coordinating communication across projects12 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
Project managers and PMOs pursue different objectives and as such are driven by different requirements All
of these efforts are aligned with the strategic needs of the organization Differences between the role of project
managers and a PMO may include the following
• The project manager focuses on the specified project objectives while the PMO manages major program
scope changes which may be seen as potential opportunities to better achieve business objectives
• The project manager controls the assigned project resources to best meet project objectives while the
PMO optimizes the use of shared organizational resources across all projects
• The project manager manages the constraints (scope schedule cost quality etc) of the individual
projects while the PMO manages the methodologies standards overall risksopportunities metrics and
interdependencies among projects at the enterprise level
15 Relationship Between Project Management Operations Management
and Organizational Strategy
Operations management is responsible for overseeing directing and controlling business operations Operations
evolve to support the daytoday business and are necessary to achieve strategic and tactical goals of the business
Examples include production operations manufacturing operations accounting operations software support and
maintenance
Though temporary in nature projects can help achieve the organizational goals when they are aligned with the
organization’s strategy Organizations sometimes change their operations products or systems by creating strategic
business initiatives that are developed and implemented through projects Projects require project management
activities and skill sets while operations require business process management operations management activities
and skill sets
151 Operations and Project Management
Changes in business operations may be the focus of a dedicated project—especially if there are substantial
changes to business operations as a result of a new product or service delivery Ongoing operations are outside of
the scope of a project however there are intersecting points where the two areas cross
Projects can intersect with operations at various points during the product life cycle such as13©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1 INTRODUCTION
• At each closeout phase
• When developing a new product upgrading a product or expanding outputs
• While improving operations or the product development process or
• Until the end of the product life cycle
At each point deliverables and knowledge are transferred between the project and operations for implementation
of the delivered work This implementation occurs through a transfer of project resources to operations toward the
end of the project or through a transfer of operational resources to the project at the start
Operations are ongoing endeavors that produce repetitive outputs with resources assigned to do basically the
same set of tasks according to the standards institutionalized in a product life cycle Unlike the ongoing nature of
operations projects are temporary endeavors
1511 Operations Management
Operations management is a subject area that is outside the scope of formal project management as described
in this standard
Operations management is an area of management concerned with ongoing production of goods andor
services It involves ensuring that business operations continue efficiently by using the optimum resources needed
and meeting customer demands It is concerned with managing processes that transform inputs (eg materials
components energy and labor) into outputs (eg products goods andor services)
1512 Operational Stakeholders in Project Management
While operations management is different from project management (see 1511) the needs of stakeholders
who perform and conduct business operations are important considerations in projects that will affect their future
work and endeavors Project managers who consider and appropriately include operational stakeholders in all
phases of projects gain insight and avoid unnecessary issues that often arise when their input is overlooked
Operational stakeholders should be engaged and their needs identified as part of the stakeholder register and
their influence (positive or negative) should be addressed as part of the risk management plan14 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
The following list includes examples of operational stakeholders (depending upon the business)
• Plant operators
• Manufacturing line supervisors
• Help desk staff
• Production system support analysts
• Customer service representative
• Salespersons
• Maintenance workers
• Telephone sales personnel
• Call center personnel
• Retail workers
• Line managers and
• Training officers
152 Organizations and Project Management
Organizations use governance to establish strategic direction and performance parameters The strategic
direction provides the purpose expectations goals and actions necessary to guide business pursuit and is aligned
with business objectives Project management activities should be aligned with toplevel business direction and
if there is a change then project objectives need to be realigned In a project environment changes to project
objectives affect project efficiency and success When the business alignment for a project is constant the chance
for project success greatly increases because the project remains aligned with the strategic direction of the
organization Should something change projects should change accordingly
1521 ProjectBased Organizations
Projectbased organizations (PBOs) refer to various organizational forms that create temporary systems
for carrying out their work PBOs can be created by different types of organizations (ie functional matrix or
projectized (see 213)) The use of PBOs may diminish the hierarchy and bureaucracy inside the organizations as
the success of the work is measured by the final result rather than by position or politics
PBOs conduct the majority of their work as projects andor provide project rather than functional approaches PBOs
can refer to either entire firms (as in telecommunications oil and gas construction consultancy and professional
services) multifirm consortia or networks it is also possible that some large projectbased organizations have
functional support areas or that the PBO is nested within subsidiaries or divisions of larger corporations15©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1 INTRODUCTION
1522 The Link Between Project Management and Organizational Governance
Projects (and programs) are undertaken to achieve strategic business outcomes for which many organizations
now adopt formal organizational governance processes and procedures Organizational governance criteria
can impose constraints on projects—particularly if the project delivers a service which will be subject to strict
organizational governance
Because project success may be judged on the basis of how well the resultant product or service supports
organizational governance it is important for the project manager to be knowledgeable about corporate
organizational governance policies and procedures pertaining to the subject matter of the product or service
(eg if an organization has adopted policies in support of sustainability practices and the project involves
construction of a new office building the project manager should be aware of sustainability requirements related
to building construction)
1523 The Relationship Between Project Management and Organizational Strategy
Organizational strategy should provide guidance and direction to project management—especially when one
considers that projects exist to support organizational strategies Often it is the project sponsor or the portfolio or
program manager who identifies alignment or potential conflicts between organizational strategies and project goals
and then communicates these to the project manager If the goals of a project are in conflict with an established
organizational strategy it is incumbent upon the project manager to document and identify such conflicts as early
as possible in the project At times the development of an organizational strategy could be the goal of a project
rather than a guiding principle In such a case it is important for the project to specifically define what constitutes
an appropriate organizational strategy that will sustain the organization
16 Business Value
Business value is a concept that is unique to each organization Business value is defined as the entire value
of the business the total sum of all tangible and intangible elements Examples of tangible elements include
monetary assets fixtures stockholder equity and utility Examples of intangible elements include good will brand
recognition public benefit and trademarks Depending on the organization business value scope can be short
medium or longterm Value may be created through the effective management of ongoing operations However
through the effective use of portfolio program and project management organizations will possess the ability to
employ reliable established processes to meet strategic objectives and obtain greater business value from their
project investments While not all organizations are business driven all organizations conduct businessrelated
activities Whether an organization is a government agency or a nonprofit organization all organizations focus on
attaining business value for their activities16 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
Successful business value realization begins with comprehensive strategic planning and management
Organizational strategy can be expressed through the organization’s mission and vision including orientation to
markets competition and other environmental factors Effective organizational strategy provides defined directions
for development and growth in addition to performance metrics for success In order to bridge the gap between
organizational strategy and successful business value realization the use of portfolio program and project
management techniques is essential
Portfolio management aligns components (projects programs or operations) to the organizational strategy
organized into portfolios or subportfolios to optimize project or program objectives dependencies costs timelines
benefits resources and risks This allows organizations to have an overall view of how the strategic goals are
reflected in the portfolio institute appropriate governance management and authorize human financial or material
resources to be allocated based on expected performance and benefits
Using program management organizations have the ability to align multiple projects for optimized or integrated
costs schedule effort and benefits Program management focuses on project interdependencies and helps to
determine the optimal approach for managing and realizing the desired benefits
With project management organizations have the ability to apply knowledge processes skills and tools and
techniques that enhance the likelihood of success over a wide range of projects Project management focuses on
the successful delivery of products services or results Within programs and portfolios projects are a means of
achieving organizational strategy and objectives
Organizations can further facilitate the alignment of these portfolio program and project management activities
by strengthening organizational enablers such as structural cultural technological and human resource practices
By continuously conducting portfolio strategic alignment and optimization performing business impact analyses
and developing robust organizational enablers organizations can achieve successful transitions within the portfolio
program and project domains and attain effective investment management and business value realization
17 Role of the Project Manager
The project manager is the person assigned by the performing organization to lead the team that is responsible
for achieving the project objectives The role of a project manager is distinct from a functional manager or operations
manager Typically the functional manager is focused on providing management oversight for a functional or a
business unit and operations managers are responsible for ensuring that business operations are efficient17©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1 INTRODUCTION
Depending on the organizational structure a project manager may report to a functional manager In other cases
a project manager may be one of several project managers who report to a program or portfolio manager who is
ultimately responsible for enterprisewide projects In this type of structure the project manager works closely with
the program or portfolio manager to achieve the project objectives and to ensure the project management plan
aligns with the overarching program plan The project manager also works closely and in collaboration with other
roles such as a business analyst quality assurance manager and subject matter experts
171 Responsibilities and Competencies of the Project Manager
In general project managers have the responsibility to satisfy the needs task needs team needs and
individual needs As project management is a critical strategic discipline the project manager becomes the link
between the strategy and the team Projects are essential to the growth and survival of organizations Projects
create value in the form of improved business processes are indispensable in the development of new products
and services and make it easier for companies to respond to changes in the environment competition and
the marketplace The project manager’s role therefore becomes increasingly strategic However understanding
and applying the knowledge tools and techniques that are recognized as good practice are not sufficient for
effective project management In addition to any areaspecific skills and general management proficiencies
required for the project effective project management requires that the project manager possess the following
competencies
• Knowledge—Refers to what the project manager knows about project management
• Performance—Refers to what the project manager is able to do or accomplish while applying his or her
project management knowledge
• Personal—Refers to how the project manager behaves when performing the project or related activity
Personal effectiveness encompasses attitudes core personality characteristics and leadership which
provides the ability to guide the project team while achieving project objectives and balancing the project
constraints
172 Interpersonal Skills of a Project Manager
Project managers accomplish work through the project team and other stakeholders Effective project managers
require a balance of ethical interpersonal and conceptual skills that help them analyze situations and interact
appropriately Appendix X3 on Interpersonal Skills describes important interpersonal skills such as18 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
• Leadership
• Team building
• Motivation
• Communication
• Influencing
• Decision making
• Political and cultural awareness
• Negotiation
• Trust building
• Conflict management and
• Coaching
18 Project Management Body of Knowledge
The PMBOK® Guide contains the standard for managing most projects most of the time across many types of
industries The standard included in Annex A1 describes the project management processes used to manage a
project toward a more successful outcome
This standard is unique to the project management field and has interrelationships to other project management
disciplines such as program management and portfolio management
Project management standards do not address all details of every topic This standard is limited to individual
projects and the project management processes that are generally recognized as good practice Other standards
may be consulted for additional information on the broader context in which projects are accomplished such as
• The Standard for Program Management [3] addresses the management of programs
• The Standard for Portfolio Management [4] addresses the management of portfolios
• Organizational Project Management Maturity Model (OPM3®) [5] examines an enterprise’s project
management process capabilities19©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Projects and project management take place in an environment that is broader than that of the project itself
Understanding this broader context helps ensure that work is carried out in alignment with the organization’s
goals and managed in accordance with the organization’s established practices This section describes how
organizational influences affect the methods used for staffing managing and executing the project It discusses
the influence of stakeholders on the project and its governance the project team’s structure and membership and
different approaches to the phasing and relationship of activities within the project’s life cycle The following major
sections are addressed
21 Organizational Influences on Project Management
22 Project Stakeholders and Governance
23 Project Team
24 Project Life Cycle
2220 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
21 Organizational Influences on Project Management
An organization’s culture style and structure influence how its projects are performed The organization’s level
of project management maturity and its project management systems can also influence the project When a project
involves external entities such as those that are part of a joint venture or partnering agreement the project will be
influenced by more than one organization The following sections describe organizational characteristics factors and
assets within an enterprise that are likely to influence the project
211 Organizational Cultures and Styles
Organizations are systematic arrangements of entities (persons andor departments) aimed at accomplishing
a purpose which may involve undertaking projects An organization’s culture and style affect how it conducts projects
Cultures and styles are group phenomena known as cultural norms which develop over time The norms include
established approaches to initiating and planning projects the means considered acceptable for getting the work
done and recognized authorities who make or influence decisions
Organizational culture is shaped by the common experiences of members of the organization and most organizations
have developed unique cultures over time by practice and common usage Common experiences include but are not
limited to
• Shared visions mission values beliefs and expectations
• Regulations policies methods and procedures
• Motivation and reward systems
• Risk tolerance
• View of leadership hierarchy and authority relationships
• Code of conduct work ethic and work hours and
• Operating environments21©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
The organization’s culture is an enterprise environmental factor as described in Section 215 Cultures and
styles are learned and shared and may have a strong influence on a project’s ability to meet its objectives A
project manager should therefore understand the different organizational styles and cultures that may affect a
project The project manager needs to know which individuals in the organization are the decision makers or
influencers and work with them to increase the probability of project success
In light of globalization understanding the impact of cultural influences is critical in projects involving diverse
organizations and locations around the world Culture becomes a critical factor in defining project success and multi
cultural competence becomes critical for the project manager
212 Organizational Communications
Project management success in an organization is highly dependent on an effective organizational communication
style especially in the face of globalization of the project management profession Organizational communications
capabilities have great influence on how projects are conducted As a consequence project managers in distant
locations are able to more effectively communicate with all relevant stakeholders within the organizational structure to
facilitate decision making Stakeholders and project team members can also use electronic communications (including
email texting instant messaging social media video and web conferencing and other forms of electronic media) to
communicate with the project manager formally or informally
213 Organizational Structures
Organizational structure is an enterprise environmental factor which can affect the availability of resources and
influence how projects are conducted (see also Section 215) Organizational structures range from functional to
projectized with a variety of matrix structures in between Table 21 shows key projectrelated characteristics of the
major types of organizational structures22 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Table 21 Influence of Organizational Structures on Projects
Project Manager＇s
Authority
Resource
Availability
Who manages the
project budget
Project Manager＇s
Role
Project Management
Administrative Staff
Project
Characteristics
Organization
Structure Functional
Weak Matrix Balanced Matrix Strong Matrix
Matrix
Projectized
Little or None
Little or None
Parttime Parttime Parttime Fulltime Fulltime
Parttime Parttime Fulltime Fulltime Fulltime
Functional
Manager
Functional
Manager Mixed
Project
Manager
Project
Manager
Low
Low
Low to
Moderate
Low to
Moderate
Moderate
to High
Moderate
to High
High to
Almost Total
High to
Almost Total
The classic functional organization shown in Figure 21 is a hierarchy where each employee has one clear
superior Staff members are grouped by specialty such as production marketing engineering and accounting
at the top level Specialties may be further subdivided into focused functional units such as mechanical and
electrical engineering Each department in a functional organization will do its project work independently of other
departments
Functional
Manager
Chief
Executive
Project
Coordination
(Gray boxes represent staff engaged in project activities)
Staff
Staff Staff
Staff
Staff
Functional
Manager
Functional
Manager
Staff
StaffStaff
Staff
Figure 21 Functional Organization23©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Matrix organizations as shown in Figures 22 through 24 reflect a blend of functional and projectized
characteristics Matrix organizations can be classified as weak balanced or strong depending on the relative level
of power and influence between functional and project managers Weak matrix organizations maintain many of the
characteristics of a functional organization and the role of the project manager is more of a coordinator or expediter
A project expediter works as staff assistant and communications coordinator The expediter cannot personally
make or enforce decisions Project coordinators have power to make some decisions have some authority and
report to a higherlevel manager Strong matrix organizations have many of the characteristics of the projectized
organization and have fulltime project managers with considerable authority and fulltime project administrative
staff While the balanced matrix organization recognizes the need for a project manager it does not provide the
project manager with the full authority over the project and project funding Table 21 provides additional details of
the various matrix organizational structures
Functional
Manager
Chief
Executive
Project
Coordination(Gray boxes represent staff engaged in project activities)
Staff
Staff Staff
StaffStaff
Functional
Manager
Functional
Manager
Staff
Staff
Staff
Staff
Figure 22 Weak Matrix Organization24 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Functional
Manager
Staff Staff
StaffStaff
Staff
Chief
Executive
Functional
Manager
Functional
Manager
Project
Coordination(Gray boxes represent staff engaged in project activities)
Project Manager
Staff
Staff Staff
Figure 23 Balanced Matrix Organization
Chief
Executive
Functional
Manager
Functional
Manager
Functional
Manager
Manager of
Project Managers
Staff
Staff
Staff Staff
Project Manager
Project Manager
Project Manager
Staff
Staff
Staff
Staff
Staff
Staff
Project Coordination(Gray boxes represent staff engaged in project activities)
Figure 24 Strong Matrix Organization25©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
At the opposite end of the spectrum to the functional organization is the projectized organization shown in
Figure 25 In a projectized organization team members are often colocated Most of the organization’s resources
are involved in project work and project managers have a great deal of independence and authority Virtual
collaboration techniques are often used to accomplish the benefits of colocated teams Projectized organizations
often have organizational units called departments but they can either report directly to the project manager or
provide support services to the various projects
Project
Manager
Chief
Executive
Project
Coordination
(Gray boxes represent staff engaged in project activities)
Project
Manager
Project
Manager
Staff
Staff
Staff
Staff
Staff
Staff
Staff
Staff
Staff
Figure 25 Projectized Organization
Many organizations involve all these structures at various levels often referred to as a composite organization
as shown in Figure 26 For example even a fundamentally functional organization may create a special project
team to handle a critical project Such a team may have many of the characteristics of a project team in a projectized
organization The team may include fulltime staff from different functional departments may develop its own set
of operating procedures and may even operate outside of the standard formalized reporting structure during the
project Also an organization may manage most of its projects in a strong matrix but allow small projects to be
managed by functional departments26 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Chief
Executive
Functional
Manager
Functional
Manager
Functional
Manager
Manager of
Project Managers
Staff
Staff
Staff Staff
Project Manager
Project Manager
Project Manager
Staff
Staff
Staff
Staff
Staff
Staff
Project A CoordinationProject B Coordination
(Gray boxes represent staff engaged in project activities)
Figure 26 Composite Organization
Many organizational structures include strategic middle management and operational levels The project
manager may interact with all three levels depending on factors such as
• Strategic importance of the project
• Capacity of stakeholders to exert influence on the project
• Degree of project management maturity
• Project management systems and
• Organizational communications
This interaction determines project characteristics such as
• Project manager’s level of authority
• Resource availability and management
• Entity controlling the project budget
• Project manager’s role and
• Project team composition27©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
214 Organizational Process Assets
Organizational process assets are the plans processes policies procedures and knowledge bases specific
to and used by the performing organization They include any artifact practice or knowledge from any or all of
the organizations involved in the project that can be used to perform or govern the project These process assets
include formal and informal plans processes policies procedures and knowledge bases specific to and used by the
performing organization The process assets also include the organization’s knowledge bases such as lessons learned
and historical information Organizational process assets may include completed schedules risk data and earned
value data Organizational process assets are inputs to most planning processes Throughout the project the project
team members may update and add to the organizational process assets as necessary Organizational process assets
may be grouped into two categories (1) processes and procedures and (2) corporate knowledge base
2141 Processes and Procedures
The organization’s processes and procedures for conducting project work include but are not limited to
• Initiating and Planning
○○ Guidelines and criteria for tailoring the organization’s set of standard processes and procedures
to satisfy the specific needs of the project
○○ Specific organizational standards such as policies (eg human resources policies health and
safety policies ethics policies and project management policies) product and project life cycles
and quality policies and procedures (eg process audits improvement targets checklists and
standardized process definitions for use in the organization) and
○○ Templates (eg risk register work breakdown structure project schedule network diagram and
contract templates)
• Executing Monitoring and Controlling
○○ Change control procedures including the steps by which performing organization standards
policies plans and procedures or any project documents will be modified and how any changes
will be approved and validated
○○ Financial controls procedures (eg time reporting required expenditure and disbursement
reviews accounting codes and standard contract provisions)
○○ Issue and defect management procedures defining issue and defect controls issue and defect
identification and resolution and action item tracking28 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
○○ Organizational communication requirements (eg specific communication technology available
authorized communication media record retention policies and security requirements)
○○ Procedures for prioritizing approving and issuing work authorizations
○○ Risk control procedures including risk categories risk statement templates probability and
impact definitions and probability and impact matrix and
○○ Standardized guidelines work instructions proposal evaluation criteria and performance
measurement criteria
• Closing
○○ Project closure guidelines or requirements (eg lessons learned final project audits project
evaluations product validations and acceptance criteria)
2142 Corporate Knowledge Base
The organizational knowledge base for storing and retrieving information includes but is not limited to
• Configuration management knowledge bases containing the versions and baselines of all performing
organization standards policies procedures and any project documents
• Financial databases containing information such as labor hours incurred costs budgets and any project
cost overruns
• Historical information and lessons learned knowledge bases (eg project records and documents
all project closure information and documentation information regarding both the results of previous
project selection decisions and previous project performance information and information from risk
management activities)
• Issue and defect management databases containing issue and defect status control information issue
and defect resolution and action item results
• Process measurement databases used to collect and make available measurement data on processes
and products and
• Project files from previous projects (eg scope cost schedule and performance measurement baselines
project calendars project schedule network diagrams risk registers planned response actions and
defined risk impact)29©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
215 Enterprise Environmental Factors
Enterprise environmental factors refer to conditions not under the control of the project team that influence
constrain or direct the project Enterprise environmental factors are considered inputs to most planning processes
may enhance or constrain project management options and may have a positive or negative influence on the
outcome
Enterprise environmental factors vary widely in type or nature Enterprise environmental factors include but are
not limited to
• Organizational culture structure and governance
• Geographic distribution of facilities and resources
• Government or industry standards (eg regulatory agency regulations codes of conduct product
standards quality standards and workmanship standards)
• Infrastructure (eg existing facilities and capital equipment)
• Existing human resources (eg skills disciplines and knowledge such as design development legal
contracting and purchasing)
• Personnel administration (eg staffing and retention guidelines employee performance reviews and
training records reward and overtime policy and time tracking)
• Company work authorization systems
• Marketplace conditions
• Stakeholder risk tolerances
• Political climate
• Organization’s established communications channels
• Commercial databases (eg standardized cost estimating data industry risk study information and risk
databases) and
• Project management information system (eg an automated tool such as a scheduling software tool
a configuration management system an information collection and distribution system or web interfaces
to other online automated systems)30 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
22 Project Stakeholders and Governance
A stakeholder is an individual group or organization who may affect be affected by or perceive itself to be
affected by a decision activity or outcome of a project Stakeholders may be actively involved in the project or have
interests that may be positively or negatively affected by the performance or completion of the project Different
stakeholders may have competing expectations that might create conflicts within the project Stakeholders may
also exert influence over the project its deliverables and the project team in order to achieve a set of outcomes
that satisfy strategic business objectives or other needs Project governance—the alignment of the project with
stakeholders’ needs or objectives—is critical to the successful management of stakeholder engagement and
the achievement of organizational objectives Project governance enables organizations to consistently manage
projects and maximize the value of project outcomes and align the projects with business strategy It provides a
framework in which the project manager and sponsors can make decisions that satisfy both stakeholder needs
and expectations and organizational strategic objectives or address circumstances where these may not be in
alignment
221 Project Stakeholders
Stakeholders include all members of the project team as well as all interested entities that are internal or
external to the organization The project team identifies internal and external positive and negative and performing
and advising stakeholders in order to determine the project requirements and the expectations of all parties
involved The project manager should manage the influences of these various stakeholders in relation to the project
requirements to ensure a successful outcome Figure 27 illustrates the relationship between the project the
project team and various stakeholders31©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Project Life Cycle and Organization
Project Stakeholders
Project Team
The Project
Operations
Management Functional
Managers
Sellers
Business
Partners
Customers
Users
Other
Project
Team
Members
Project
Manager
Project
Manage
ment
Team
Project
Manage
ment
Office
Program
Manager
Portfolio
Manager
Other
Stakeholders Sponsor
Figure 27 The Relationship Between Stakeholders and the Project
Stakeholders have varying levels of responsibility and authority when participating on a project This level can
change over the course of the project’s life cycle Their involvement may range from occasional contributions in
surveys and focus groups to full project sponsorship which includes providing financial political or other support
Some stakeholders may also detract from the success of the project either passively or actively These stakeholders
require the project manager’s attention throughout the project’s life cycle as well as planning to address any issues
they may raise
Stakeholder identification is a continuous process throughout the entire project life cycle Identifying stakeholders
understanding their relative degree of influence on a project and balancing their demands needs and expectations
are critical to the success of the project Failure to do so can lead to delays cost increases unexpected issues
and other negative consequences including project cancellation An example is late recognition that the legal
department is a significant stakeholder which results in delays and increased expenses due to legal requirements
that are required to be met before the project can be completed or the product scope is delivered32 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Just as stakeholders can positively or adversely impact a project’s objectives a project can be perceived by
the stakeholders as having positive or negative results For example business leaders from a community who will
benefit from an industrial expansion project will see positive economic benefits to the community in the form of
additional jobs supporting infrastructure and taxes In the case of stakeholders with positive expectations for the
project their interests are best served by making the project successful In contrast the interests of negatively
affected stakeholders such as nearby homeowners or small business owners who may lose property be forced
to relocate or accept unwanted changes in the local environment are served by impeding the project’s progress
Overlooking negative stakeholder interests can result in an increased likelihood of failures delays or other negative
consequences to the project
An important part of a project manager’s responsibility is to manage stakeholder expectations which can be
difficult because stakeholders often have very different or conflicting objectives Part of the project manager’s
responsibility is to balance these interests and ensure that the project team interacts with stakeholders in a
professional and cooperative manner Project managers may involve the project’s sponsor or other team members
from different locations to identify and manage stakeholders that could be dispersed around the world
The following are some examples of project stakeholders
• Sponsor A sponsor is the person or group who provides resources and support for the project and is
accountable for enabling success The sponsor may be external or internal to the project manager’s
organization From initial conception through project closure the sponsor promotes the project This
includes serving as spokesperson to higher levels of management to gather support throughout the
organization and promoting the benefits the project brings The sponsor leads the project through the
initiating processes until formally authorized and plays a significant role in the development of the initial
scope and charter For issues that are beyond the control of the project manager the sponsor serves
as an escalation path The sponsor may also be involved in other important issues such as authorizing
changes in scope phaseend reviews and gonogo decisions when risks are particularly high The
sponsor also ensures a smooth transfer of the project’s deliverables into the business of the requesting
organization after project closure
• Customers and users Customers are the persons or organizations who will approve and manage the
project’s product service or result Users are the persons or organizations who will use the project’s
product service or result Customers and users may be internal or external to the performing organization
and may also exist in multiple layers For example the customers for a new pharmaceutical product
could include the doctors who prescribe it the patients who use it and the insurers who pay for it In some
application areas customers and users are synonymous while in others customers refer to the entity
acquiring the project’s product and users refer to those who will directly utilize the project’s product33©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
• Sellers Sellers also called vendors suppliers or contractors are external companies that enter into a
contractual agreement to provide components or services necessary for the project
• Business partners Business partners are external organizations that have a special relationship with
the enterprise sometimes attained through a certification process Business partners provide specialized
expertise or fill a specified role such as installation customization training or support
• Organizational groups Organizational groups are internal stakeholders who are affected by the activities
of the project team Examples of various business elements of an organization that may be affected by
the project include marketing and sales human resources legal finance operations manufacturing and
customer service These groups support the business environment where projects are executed and
are therefore affected by the activities of the project As a result there is generally a significant amount
of interaction between the various business elements of an organization and the project team as they
work together to achieve project goals These groups may provide input to requirements and accept
deliverables necessary for a smooth transition to production or related operations
• Functional managers Functional managers are key individuals who play a management role within
an administrative or functional area of the business such as human resources finance accounting or
procurement They are assigned their own permanent staff to carry out the ongoing work and they have
a clear directive to manage all tasks within their functional area of responsibility The functional manager
may provide subject matter expertise or their function may provide services to the project
• Other stakeholders Additional stakeholders such as procurement entities financial institutions
government regulators subject matter experts consultants and others may have a financial interest in
the project contribute inputs to the project or have an interest in the outcome of the project
Project stakeholders and stakeholder engagement are further defined in Section 13 on Project Stakeholder
Management34 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
222 Project Governance
Project governance is an oversight function that is aligned with the organization’s governance model and that
encompasses the project life cycle Project governance framework provides the project manager and team with
structure processes decisionmaking models and tools for managing the project while supporting and controlling
the project for successful delivery Project governance is a critical element of any project especially on complex and
risky projects It provides a comprehensive consistent method of controlling the project and ensuring its success
by defining and documenting and communicating reliable repeatable project practices It includes a framework
for making project decisions defines roles responsibilities and accountabilities for the success of the project and
determines the effectiveness of the project manager A project’s governance is defined by and fits within the larger
context of the portfolio program or organization sponsoring it but is separate from organizational governance
For project governance the PMO may also play some decisive role Project governance involves stakeholders
as well as documented policies procedures and standards responsibilities and authorities Examples of the
elements of a project governance framework include
• Project success and deliverable acceptance criteria
• Process to identify escalate and resolve issues that arise during the project
• Relationship among the project team organizational groups and external stakeholders
• Project organization chart that identifies project roles
• Processes and procedures for the communication of information
• Project decisionmaking processes
• Guidelines for aligning project governance and organizational strategy
• Project life cycle approach
• Process for stage gate or phase reviews
• Process for review and approval for changes to budget scope quality and schedule which are beyond
the authority of the project manager and
• Process to align internal stakeholders with project process requirements35©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Within those constraints as well as the additional limitations of time and budget it is up to the project manager
and the project team to determine the most appropriate method of carrying out the project While project governance
is the framework in which the project team performs the team is still responsible for planning executing controlling
and closing the project The project governance approach should be described in the project management plan
Decisions are made regarding who will be involved the escalation procedures what resources are necessary and
the general approach to completing the work Another important consideration is whether more than one phase will
be involved and if so the specific life cycle for the individual project
223 Project Success
Since projects are temporary in nature the success of the project should be measured in terms of completing
the project within the constraints of scope time cost quality resources and risk as approved between the project
managers and senior management To ensure realization of benefits for the undertaken project a test period (such
as soft launch in services) can be part of the total project time before handing it over to the permanent operations
Project success should be referred to the last baselines approved by the authorized stakeholders
The project manager is responsible and accountable for setting realistic and achievable boundaries for the
project and to accomplish the project within the approved baselines
23 Project Team
The project team includes the project manager and the group of individuals who act together in performing the
work of the project to achieve its objectives The project team includes the project manager project management
staff and other team members who carry out the work but who are not necessarily involved with management of
the project This team is comprised of individuals from different groups with specific subject matter knowledge or
with a specific skill set to carry out the work of the project The structure and characteristics of a project team can
vary widely but one constant is the project manager’s role as the leader of the team regardless of what authority
the project manager may have over its members36 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Project teams include roles such as
• Project management staff The members of the team who perform project management activities such
as scheduling budgeting reporting and control communications risk management and administrative
support This role may be performed or supported by a project management office (PMO)
• Project staff The members of the team who carry out the work of creating the project deliverables
• Supporting experts Supporting experts perform activities required to develop or execute the project
management plan These can include such roles as contracting financial management logistics legal
safety engineering test or quality control Depending on the size of the project and level of support
required supporting experts may be assigned to work full time or may just participate on the team when
their particular skills are required
• User or Customer Representatives Members of the organization who will accept the deliverables or
products of the project may be assigned to act as representatives or liaisons to ensure proper coordination
advise on requirements or validate the acceptability of the project’s results
• Sellers Sellers also called vendors suppliers or contractors are external companies that enter into
a contractual agreement to provide components or services necessary for the project The project team
is often assigned the responsibility to oversee the performance and acceptance of sellers’ deliverables
or services If the sellers bear a large share of the risk for delivering the project’s results they may play
a significant role on the project team
• Business partner members Members of business partners’ organizations may be assigned as members
of the project team to ensure proper coordination
• Business partners Business partners are also external companies but they have a special relationship
with the enterprise sometimes attained through a certification process Business partners provide
specialized expertise or fill a specified role such as installation customization training or support37©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
231 Composition of Project Teams
The composition of project teams varies based on factors such as organizational culture scope and location
The relationship between the project manager and the team varies depending on the authority of the project
manager In some cases a project manager may be the team’s line manager with full authority over its members
In other cases a project manager may have little or no direct organizational authority over the team members and
may have been brought in to lead the project on a parttime basis or under contract The following are examples
of basic project team compositions
• Dedicated In a dedicated team all or a majority of the project team members are assigned to work
fulltime on the project The project team may be colocated or virtual and usually reports directly to the
project manager This is the simplest structure for a project manager as the lines of authority are clear
and team members can focus on the project’s objectives
• PartTime Some projects are established as temporary additional work with the project manager and
team members working on the project while remaining in their existing organizations and continuing to
carry out their normal functions The functional managers maintain control over the team members and
the resources allocated to the project and the project manager is likely to continue performing other
management duties Parttime team members may also be assigned to more than one project at a time
Dedicated and parttime project team compositions may exist in any of the organizational structures Dedicated
project teams are often seen in projectized organizations where most of the organization’s resources are involved
in project work and project managers have a great deal of independence and authority Parttime project teams
are common within functional organizations and matrix organizations use both dedicated and parttime project
teams Other members who have limited involvement at various stages of a project can be thought of as parttime
project team members
Project team composition may also vary based on organizational structure An example of this is a partnership
based project A project may be established as a partnership joint venture consortium or alliance among several
organizations through contracts or agreements In this structure one organization takes the lead and assigns a
project manager to coordinate the efforts among the partners Partnershipbased projects can offer flexibility at
lower cost These advantages may be offset by the project manager’s lower degree of control over team members
and the need for strong mechanisms for communication and monitoring progress Partnership projects may be set
up to exploit industrial synergies to undertake ventures that one partner could not afford alone or for other political
and strategic reasons38 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Project team composition may also vary based on the geographic location of its members An example of this is
virtual project teams Communication technologies allow team members in different locations or countries to work
as virtual teams Virtual teams rely on collaborative tools such as shared online workspaces and video conferences
to coordinate their activities and exchange information about the project A virtual team can exist with any type
of organizational structure and team composition Virtual teams are often necessary for projects where resources
are located onsite or offsite or both depending on the project activities A project manager who is leading a virtual
team needs to accommodate differences in the culture working hours time zones local conditions and languages
24 Project Life Cycle
A project life cycle is the series of phases that a project passes through from its initiation to its closure The
phases are generally sequential and their names and numbers are determined by the management and control
needs of the organization or organizations involved in the project the nature of the project itself and its area of
application The phases can be broken down by functional or partial objectives intermediate results or deliverables
specific milestones within the overall scope of work or financial availability Phases are generally time bounded
with a start and ending or control point A life cycle can be documented within a methodology The project life
cycle can be determined or shaped by the unique aspects of the organization industry or technology employed
While every project has a definite start and a definite end the specific deliverables and activities that take place
in between will vary widely with the project The life cycle provides the basic framework for managing the project
regardless of the specific work involved
Project life cycles can range along a continuum from predictive or plandriven approaches at one end to adaptive
or changedriven approaches at the other In a predictive life cycle (Section 2422) the product and deliverables
are defined at the beginning of the project and any changes to scope are carefully managed In an adaptive life
cycle (Section 2424) the product is developed over multiple iterations and detailed scope is defined for each
iteration only as the iteration begins
241 Characteristics of the Project Life Cycle
Projects vary in size and complexity All projects can be mapped to the following generic life cycle structure (see
Figure 28)39©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
• Starting the project
• Organizing and preparing
• Carrying out the project work and
• Closing the project
This generic life cycle structure is often referred to when communicating with upper management or other
entities less familiar with the details of the project It should not be confused with the Project Management Process
Groups because the processes in a Process Group consist of activities that may be performed and recur within
each phase of a project as well as for the project as a whole The project life cycle is independent from the life cycle
of the product produced by or modified by the project However the project should take the current lifecycle phase
of the product into consideration This highlevel view can provide a common frame of reference for comparing
projects—even if they are dissimilar in nature
Time
Cost and Staffing Level
Project
Management
Outputs
Project
Charter
Starting
the
project
Organizing and
preparing
Closing
the
project
Carrying out the work
Project
Management Plan
Accepted
Deliverables
Archived
Project
Documents
Figure 28 Typical Cost and Staffing Levels Across a Generic Project Life Cycle Structure40 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
The generic life cycle structure generally displays the following characteristics
• Cost and staffing levels are low at the start peak as the work is carried out and drop rapidly as the
project draws to a close Figure 28 illustrates this typical pattern
• The typical cost and staffing curve above may not apply to all projects A project may require significant
expenditures to secure needed resources early in its life cycle for instance or be fully staffed from a point
very early in its life cycle
• Risk and uncertainty (as illustrated in Figure 29) are greatest at the start of the project These factors
decrease over the life of the project as decisions are reached and as deliverables are accepted
• The ability to influence the final characteristics of the project’s product without significantly impacting
cost is highest at the start of the project and decreases as the project progresses towards completion
Figure 29 illustrates the idea that the cost of making changes and correcting errors typically increases
substantially as the project approaches completion
While these characteristics remain present to some extent in almost all project life cycles they are not always
present to the same degree Adaptive life cycles in particular are developed with the intent of keeping stakeholder
influences higher and the costs of changes lower throughout the life cycle than in predictive life cycles
Risk and uncertainty
Cost of changes
Project Time
Low
High
Degree
Figure 29 Impact of Variable Based on Project Time41©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Within the context of the generic life cycle structure a project manager may determine the need for more
effective control over certain deliverables or that certain deliverables are required to be completed before the
project scope can be completely defined Large and complex projects in particular may require this additional
level of control In such instances the work carried out to complete the project’s objective may benefit from being
formally divided into phases
242 Project Phases
A project may be divided into any number of phases A project phase is a collection of logically related project
activities that culminates in the completion of one or more deliverables Project phases are used when the nature
of the work to be performed is unique to a portion of the project and are typically linked to the development of
a specific major deliverable A phase may emphasize processes from a particular Project Management Process
Group but it is likely that most or all processes will be executed in some form in each phase Project phases
typically are completed sequentially but can overlap in some project situations Different phases typically have a
different duration or effort The highlevel nature of project phases makes them an element of the project life cycle
The phase structure allows the project to be segmented into logical subsets for ease of management planning
and control The number of phases the need for phases and the degree of control applied depend on the size
complexity and potential impact of the project Regardless of the number of phases comprising a project all
phases have similar characteristics
• The work has a distinct focus that differs from any other phase This often involves different organizations
locations and skill sets
• Achieving the primary deliverable or objective of the phase requires controls or processes unique to the
phase or its activities The repetition of processes across all five Process Groups as described in Section
3 provides an additional degree of control and defines the boundaries of the phase
• The closure of a phase ends with some form of transfer or handoff of the work product produced as the
phase deliverable This phase end represents a natural point to reassess the activities underway and to
change or terminate the project if necessary This point may be referred to as a stage gate milestone
phase review phase gate or kill point In many cases the closure of a phase is required to be approved
in some form before it can be considered closed42 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
There is no single ideal structure that will apply to all projects Although industry common practices will often
lead to the use of a preferred structure projects in the same industry—or even in the same organization—may
have significant variation Some will have only one phase as shown in Figure 210 Other projects may have two
or more phases
One Approach to Managing the Installation of a Telecommunications Network
Executing Processes
Monitoring and Controlling Processes
Closing ProcessesInitiating Processes Planning Processes
Figure 210 Example of a SinglePhase Project
Some organizations have established policies that standardize all projects while others allow the project team
to choose and tailor the most appropriate approach for their individual project For instance one organization
may treat a feasibility study as routine preproject work another may treat it as the first phase of a project and
a third may treat the feasibility study as a separate standalone project Likewise one project team may divide a
project into two phases whereas another project team may choose to manage all the work as a single phase Much
depends on the nature of the specific project and the style of the project team or organization
2421 PhasetoPhase Relationships
When projects have more than one phase the phases are part of a generally sequential process designed to
ensure proper control of the project and attain the desired product service or result However there are situations
when a project might benefit from overlapping or concurrent phases
There are two basic types of phasetophase relationships
• Sequential relationship In a sequential relationship a phase starts only when the previous phase is
complete Figure 211 shows an example of a project with three entirely sequential phases The step
bystep nature of this approach reduces uncertainty but may eliminate options for reducing the overall
schedule43©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Landscaping
One Approach to Cleaning Up a Hazardous Waste Site
Executing
Processes
Monitoring and Controlling Processes
Closing
Processes
Initiating
Processes
Planning
Processes
Waste RemovalCleanup
Executing
Processes
Monitoring and Controlling Processes
Closing
Processes
Initiating
Processes
Planning
Processes
Facility Decommissioning
Executing
Processes
Monitoring and Controlling Processes
Closing
Processes
Initiating
Processes
Planning
Processes
Figure 211 Example of a ThreePhase Project
• Overlapping relationship In an overlapping relationship a phase starts prior to completion of the previous
one (see Figure 212) This can sometimes be applied as an example of the schedule compression
technique called fast tracking Overlapping phases may require additional resources to allow work to be
done in parallel may increase risk and can result in rework if a subsequent phase progresses before
accurate information is available from the previous phase
Construction Phase
Executing
Processes
Monitoring and Controlling Processes
Closing
Processes
Initiating
Processes
Planning
Processes
Design Phase
Executing
Processes
Monitoring and Controlling Processes
Closing
Processes
Initiating
Processes
Planning
Processes
Potential Approach to Building a New Factory
Figure 212 Example of a Project with Overlapping Phases44 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
For projects with more than one phase there may be different relationships (overlapping sequential parallel)
between individual phases Considerations such as level of control required effectiveness and degree of uncertainty
determine the relationship to be applied between phases Based on those considerations both relationships could
occur between different phases of a single project
2422 Predictive Life Cycles
Predictive life cycles (also known as fully plandriven) are ones in which the project scope and the time and
cost required to deliver that scope are determined as early in the project life cycle as practically possible As shown
in Figure 213 these projects proceed through a series of sequential or overlapping phases with each phase
generally focusing on a subset of project activities and project management processes The work performed in
each phase is usually different in nature to that in the preceding and subsequent phases therefore the makeup
and skills required of the project team may vary from phase to phase
Requirements
Feasibility
Planning
Design
Construct
Test
Turnover
Figure 213 Example of Predictive Life Cycle45©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
When the project is initiated the project team will focus on defining the overall scope for the product and
project develop a plan to deliver the product (and any associated deliverables) and then proceed through phases
to execute the plan within that scope Changes to the project scope are carefully managed and require re planning
and formal acceptance of the new scope
Predictive life cycles are generally preferred when the product to be delivered is well understood there is
a substantial base of industry practice or where a product is required to be delivered in full to have value to
stakeholder groups
Even projects with predictive life cycles may use the concept of rolling wave planning where a more general
highlevel plan is available and more detailed planning is executed for appropriate time windows as new work
activities are approaching and resources are to be assigned
2423 Iterative and Incremental Life Cycles
Iterative and incremental life cycles are ones in which project phases (also called iterations) intentionally repeat
one or more project activities as the project team’s understanding of the product increases Iterations develop the
product through a series of repeated cycles while increments successively add to the functionality of the product
These life cycles develop the product both iteratively and incrementally
Iterative and incremental projects may proceed in phases and the iterations themselves will be performed in a
sequential or overlapping fashion During an iteration activities from all Project Management Process Groups will
be performed At the end of each iteration a deliverable or set of deliverables will be completed Future iterations
may enhance those deliverables or create new ones Each iteration incrementally builds the deliverables until the
exit criteria for the phase are met allowing the project team to incorporate feedback
In most iterative life cycles a highlevel vision will be developed for the overall undertaking but the detailed
scope is elaborated one iteration at a time Often the planning for the next iteration is carried out as work progresses
on the current iteration’s scope and deliverables The work required for a given set of deliverables may vary in
duration and effort and the project team may change between or during iterations Those deliverables that are not
addressed within the scope of the current iteration are typically scoped at a high level only and may be tentatively
assigned to a specific future iteration Changes to the scope of an iteration are carefully managed once work begins46 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Iterative and incremental life cycles are generally preferred when an organization needs to manage changing
objectives and scope to reduce the complexity of a project or when the partial delivery of a product is beneficial
and provides value for one or more stakeholder groups without impact to the final deliverable or set of deliverables
Large and complex projects are frequently executed in an iterative fashion to reduce risk by allowing the team to
incorporate feedback and lessons learned between iterations
2424 Adaptive Life Cycles
Adaptive life cycles (also known as changedriven or agile methods) are intended to respond to high levels
of change and ongoing stakeholder involvement Adaptive methods are also iterative and incremental but differ
in that iterations are very rapid (usually with a duration of 2 to 4 weeks) and are fixed in time and cost Adaptive
projects generally perform several processes in each iteration although early iterations may concentrate more on
planning activities
The overall scope of the project will be decomposed into a set of requirements and work to be performed
sometimes referred to as a product backlog At the beginning of an iteration the team will work to determine
how many of the highest priority items on the backlog list can be delivered within the next iteration At the end of
each iteration the product should be ready for review by the customer This does not mean that the customer is
required to accept delivery just that the product should not include unfinished incomplete or unusable features
The sponsor and customer representatives should be continuously engaged with the project to provide feedback
on deliverables as they are created and to ensure that the product backlog reflects their current needs
Adaptive methods are generally preferred when dealing with a rapidly changing environment when requirements
and scope are difficult to define in advance and when it is possible to define small incremental improvements that
will deliver value to stakeholders47©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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3 PROJECT MANAGEMENT PROCESSES
PROJECT MANAGEMENT PROCESSES
Project management is the application of knowledge skills tools and techniques to project activities to meet the
project requirements This application of knowledge requires the effective management of the project management
processes
A process is a set of interrelated actions and activities performed to create a prespecified product service or
result Each process is characterized by its inputs the tools and techniques that can be applied and the resulting
outputs As explained in Section 2 the project manager needs to consider organizational process assets and
enterprise environmental factors These should be taken into account for every process even if they are not
explicitly listed as inputs in the process specification Organizational process assets provide guidelines and criteria
for tailoring the organization’s processes to the specific needs of the project Enterprise environmental factors may
constrain the project management options
In order for a project to be successful the project team should
• Select appropriate processes required to meet the project objectives
• Use a defined approach that can be adapted to meet requirements
• Establish and maintain appropriate communication and engagement with stakeholders
• Comply with requirements to meet stakeholder needs and expectations and
• Balance the competing constraints of scope schedule budget quality resources and risk to produce the
specified product service or result
The project processes are performed by the project team with stakeholder interaction and generally fall into one
of two major categories
• Project management processes These processes ensure the effective flow of the project throughout
its life cycle These processes encompass the tools and techniques involved in applying the skills and
capabilities described in the Knowledge Areas (Sections 4 through 13)
• Productoriented processes These processes specify and create the project’s product Product
oriented processes are typically defined by the project life cycle (as discussed in Section 24) and vary
by application area as well as the phase of the product life cycle The scope of the project cannot be
defined without some basic understanding of how to create the specified product For example various
construction techniques and tools need to be considered when determining the overall complexity of the
house to be built
3348 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
3 PROJECT MANAGEMENT PROCESSES
The PMBOK® Guide describes only the project management processes Although productoriented processes
are outside the scope of this document they should not be ignored by the project manager and project team Project
management processes and productoriented processes overlap and interact throughout the life of a project
Project management processes apply globally and across industry groups Good practice means there is general
agreement that the application of project management processes has been shown to enhance the chances of
success over a wide range of projects Good practice does not mean that the knowledge skills and processes
described should always be applied uniformly on all projects For any given project the project manager in
collaboration with the project team is always responsible for determining which processes are appropriate and
the appropriate degree of rigor for each process
Project managers and their teams should carefully address each process and its inputs and outputs and
determine which are applicable to the project they are working on The PMBOK® Guide may be used as a resource
in managing a project while considering the overall approach and methodology to be followed for the project This
effort is known as tailoring
Project management is an integrative undertaking that requires each project and product process to be
appropriately aligned and connected with the other processes to facilitate coordination Actions taken during one
process typically affect that process and other related processes For example a scope change typically affects
project cost but it may not affect the communications management plan or level of risk These process interactions
often require tradeoffs among project requirements and objectives and the specific performance tradeoffs will vary
from project to project and organization to organization Successful project management includes actively managing
these interactions to meet sponsor customer and other stakeholder requirements In some circumstances a
process or set of processes will need to be iterated several times in order to achieve the required outcome
Projects exist within an organization and do not operate as a closed system They require input data from the
organization and beyond and deliver capabilities back to the organization The project processes may generate
information to improve the management of future projects and organizational process assets
The PMBOK® Guide describes the nature of project management processes in terms of the integration between
the processes their interactions and the purposes they serve Project management processes are grouped into five
categories known as Project Management Process Groups (or Process Groups)49©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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3 PROJECT MANAGEMENT PROCESSES
• Initiating Process Group Those processes performed to define a new project or a new phase of an
existing project by obtaining authorization to start the project or phase
• Planning Process Group Those processes required to establish the scope of the project refine the
objectives and define the course of action required to attain the objectives that the project was undertaken
to achieve
• Executing Process Group Those processes performed to complete the work defined in the project
management plan to satisfy the project specifications
• Monitoring and Controlling Process Group Those processes required to track review and regulate the
progress and performance of the project identify any areas in which changes to the plan are required
and initiate the corresponding changes
• Closing Process Group Those processes performed to finalize all activities across all Process Groups to
formally close the project or phase
The remainder of this section provides information for project management of a single project organized as
a network of interlinked processes details the project management processes and includes the following major
sections
31 Common Project Management Process Interactions
32 Project Management Process Groups
33 Initiating Process Group
34 Planning Process Group
35 Executing Process Group
36 Monitoring and Controlling Process Group
37 Closing Process Group
38 Project Information
39 Role of the Knowledge Areas
310 The Standard for Project Management of a Project50 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
3 PROJECT MANAGEMENT PROCESSES
31 Common Project Management Process Interactions
The project management processes are presented as discrete elements with welldefined interfaces However
in practice they overlap and interact in ways that are not completely detailed in this document Most experienced
project management practitioners recognize there is more than one way to manage a project The required Process
Groups and their processes are guides for applying appropriate project management knowledge and skills during
the project The application of the project management processes is iterative and many processes are repeated
during the project
The integrative nature of project management requires the Monitoring and Controlling Process Group to interact
with the other Process Groups as shown in Figure 31 Monitoring and Controlling processes occur at the same
time as processes contained within other Process Groups Thus the Monitoring and Controlling Process is pictured
as a background Process Group for the other four Process Groups shown in Figure 31
Monitoring &
Controlling Processes
Planning
Processes
Initiating
Processes
Closing
Processes
Exit Phase
End project
Enter Phase
Start project
Executing
Processes
Figure 31 Project Management Process Groups51©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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3 PROJECT MANAGEMENT PROCESSES
Project Management Process Groups are linked by the outputs which are produced The Process Groups are
seldom either discrete or onetime events they are overlapping activities that occur throughout the project The
output of one process generally becomes an input to another process or is a deliverable of the project subproject or
project phase Deliverables at the subproject or project level may be called incremental deliverables The Planning
Process Group provides the Executing Process Group with the project management plan and project documents
and as the project progresses it often creates updates to the project management plan and the project documents
Figure 32 illustrates how the Process Groups interact and shows the level of overlap at various times If the project
is divided into phases the Process Groups interact within each phase
Planning
Process
Group
Initiating
Process
Group
Executing
Process
Group
Monitoring
and Controlling
Process Group
Closing
Process
Group
Start Finish
TIME
Level of
Process
Interaction
Figure 32 Process Groups Interact in a Phase or Project
An example of this interaction is the exit of a design phase which requires sponsor acceptance of the design
document Once it is available the design document provides the product description for the Planning and Executing
Process Groups in one or more subsequent phases When a project is divided into phases the Process Groups are
used as appropriate to effectively drive the project to completion in a controlled manner In multiphase projects
processes are repeated within each phase until the criteria for phase completion have been satisfied Additional
information on project organization life cycles and project phases is provided in Section 252 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
3 PROJECT MANAGEMENT PROCESSES
32 Project Management Process Groups
The following sections identify and describe the five Project Management Process Groups required for any
project These five Process Groups have clear dependencies and are typically performed in each project and
highly interact with one another These five Process Groups are independent of application areas or industry focus
Individual Process Groups and individual processes are often iterated prior to completing the project and can have
interactions within a Process Group and among Process Groups The nature of these interactions varies from project
to project and may or may not be performed in a particular order
The process flow diagram Figure 33 provides an overall summary of the basic flow and interactions
among Process Groups and specific stakeholders The project management processes are linked by specific
inputs and outputs where the result or outcome of one process becomes the input to another process but not
necessarily in the same Process Group The Process Groups are not project life cycle phases In fact it is
possible that all Process Groups could be conducted within a phase As projects are separated into distinct phases
or subcomponents such as concept development feasibility study design prototype build or test etc all of the
Process Groups would normally be repeated for each phase or subcomponent along the lines explained previously
and illustrated in Figure 32
The project management processes are shown in the Process Group in which most of the related activities takes
place For example a process that normally takes place in the planning phase is put into the Planning Process
Group When this process is updated by an Executing Process Group process or activity it is not considered a new
process within the Executing Process Group but is still a Planning Process Group process or activity The iterative
nature of project management means that processes from any group may be reused throughout the project life
cycle For example in response to a risk event executing a risk response may trigger further analysis which leads
to another iteration of the Identify Risks process and the associated Perform Quantitative Risk Analysis and Perform
Quantitative Risk Analysis processes to evaluate the impact53©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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3 PROJECT MANAGEMENT PROCESSES
Initiating
Process
Group
Monitoring
and
Controlling
Process
Group
Planning
Process
Group
Executing
Process
Group
Closing
Process
Group
Project Initiator
or Sponsor
Enterprise
Organization
Customer
Sellers
• Project
management
plan
• Makeorbuy
decisions
• Source selection
criteria
• Deliverables
• Change requests
• Work performance information
• Selected sellers
• Accepted deliverables
• Procurement documentation
NOTE The darker dotted lines represent relationships between Process Groups the lighter dotted lines are external to the Process Groups
• Seller
proposals
• Procurement
contract award
• Requirements
• Teaming
agreements
• Organizational
process assets
• Enterprise
environmental
factors
• Stakeholder
register
• Stakeholder
management
strategy
• Project
charter
• Procurement
documents
• Project statement of work
• Business case
• Agreements
• Resource
calendars
• Final product
service or result
• Approved change
requests
• Quality control
measurements
• Performance reports
Project
Documents
Figure 33 Project Management Process Interactions54 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
3 PROJECT MANAGEMENT PROCESSES
33 Initiating Process Group
The Initiating Process Group consists of those processes performed to define a new project or a new phase
of an existing project by obtaining authorization to start the project or phase Within the Initiating processes the
initial scope is defined and initial financial resources are committed Internal and external stakeholders who
will interact and influence the overall outcome of the project are identified If not already assigned the project
manager will be selected This information is captured in the project charter and stakeholder register When the
project charter is approved the project becomes officially authorized Although the project management team may
help write the project charter this standard assumes that business case assessment approval and funding are
handled externally to the project boundaries (Figure 34) A project boundary is defined as the point in time that
a project or project phase is authorized to its completion The key purpose of this Process Group is to align the
stakeholders’ expectations with the project’s purpose give them visibility about the scope and objectives show
how their participation in the project and it associated phases can ensure that their expectations are achieved
These processes help set the vision of the project—what is needed to be accomplished
Project
Boundaries
Project
Deliverables
Project
Records
End
Users
Process
Assets
Monitoring &
Controlling Processes
Planning
Processes
Initiating
Processes
Closing
Processes
Executing
Processes
Project
Inputs
Project
Initiator
Sponsor
Figure 34 Project Boundaries
Large complex projects should be divided into separate phases In such projects the Initiating processes are
carried out during subsequent phases to validate the decisions made during the original Develop Project Charter
and Identify Stakeholders processes Performing the Initiating processes at the start of each phase helps to keep
the project focused on the business need that the project was undertaken to address The success criteria are
verified and the influence drivers and objectives of the project stakeholders are reviewed A decision is then
made as to whether the project should be continued delayed or discontinued55©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Involving the sponsors customers and other stakeholders during initiation creates a shared understanding of
success criteria reduces the overhead of involvement and generally improves deliverable acceptance customer
satisfaction and other stakeholder satisfaction
Initiating processes may be performed at the organizational program or portfolio level and therefore would
be outside of the project’s level of control For example prior to commencing a project the need for highlevel
requirements may be documented as part of a larger organizational initiative A process of evaluating alternatives
may be utilized to determine the feasibility of the new undertaking Clear descriptions of the project objectives may
be developed including the reasons why a specific project is the best alternative to satisfy the requirements The
documentation for this decision may also contain the initial project scope statement deliverables project duration
and a forecast of the resources for the organization’s investment analysis As part of the Initiating processes the
project manager is given the authority to apply organizational resources to the subsequent project activities
34 Planning Process Group
The Planning Process Group consists of those processes performed to establish the total scope of the effort
define and refine the objectives and develop the course of action required to attain those objectives The Planning
processes develop the project management plan and the project documents that will be used to carry out the
project The complex nature of project management may require the use of repeated feedback loops for additional
analysis As more project information or characteristics are gathered and understood additional planning will
likely be required Significant changes occurring throughout the project life cycle trigger a need to revisit one
or more of the planning processes and possibly some of the initiating processes This progressive detailing of
the project management plan is called progressive elaboration indicating that planning and documentation are
iterative and ongoing activities The key benefit of this Process Group is to delineate the strategy and tactics as
well as the course of action or path to successfully complete the project or phase When the Planning Process
Group is well managed it is much easier to get stakeholder buyin and engagement These processes express
how this will be done setting the route to the desired objective
The project management plan and project documents developed as outputs from the Planning Process Group
will explore all aspects of the scope time cost quality communications human resources risks procurements
and stakeholder engagement56 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Updates arising from approved changes during the project (generally during Monitoring and Controlling
processes and specifically during the Direct and Manage Project Work Process) may significantly impact parts of
the project management plan and the project documents Updates to these documents provide greater precision
with respect to schedule costs and resource requirements to meet the defined project scope
The project team seeks input and encourages involvement from all stakeholders when planning the project
and developing the project management plan and project documents While the act of collecting feedback and
refining the documents cannot continue indefinitely procedures set by the organization dictate when the initial
planning ends These procedures will be affected by the nature of the project the established project boundaries
appropriate monitoring and controlling activities as well as the environment in which the project will be performed
Other interactions among the processes within the Planning Process Group are dependent upon the nature of
the project For example for some projects there will be little or no identifiable risks until after a significant amount
of planning has been done At that time the team might recognize that the cost and schedule targets are overly
aggressive thus involving considerably more risk than previously understood The results of the iterations are
documented as updates to the project management plan or to various project documents
35 Executing Process Group
The Executing Process Group consists of those processes performed to complete the work defined in the
project management plan to satisfy the project specifications This Process Group involves coordinating people and
resources managing stakeholder expectations as well as integrating and performing the activities of the project in
accordance with the project management plan
During project execution results may require planning updates and rebaselining This may include changes
to expected activity durations changes in resource productivity and availability and unanticipated risks Such
variances may affect the project management plan or project documents and may require detailed analysis and
development of appropriate project management responses The results of the analysis can trigger change requests
that if approved may modify the project management plan or other project documents and possibly require
establishing new baselines A large portion of the project’s budget will be expended in performing the Executing
Process Group processes57©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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36 Monitoring and Controlling Process Group
The Monitoring and Controlling Process Group consists of those processes required to track review and
orchestrate the progress and performance of the project identify any areas in which changes to the plan are
required and initiate the corresponding changes The key benefit of this Process Group is that project performance
is measured and analyzed at regular intervals appropriate events or exception conditions to identify variances
from the project management plan The Monitoring and Controlling Process Group also involves
• Controlling changes and recommending corrective or preventive action in anticipation of possible
problems
• Monitoring the ongoing project activities against the project management plan and the project
performance measurement baseline and
• Influencing the factors that could circumvent integrated change control or configuration management
so only approved changes are implemented
This continuous monitoring provides the project team insight into the health of the project and identifies any
areas requiring additional attention The Monitoring and Controlling Process Group not only monitors and controls
the work being done within a Process Group but also monitors and controls the entire project effort In multiphase
projects the Monitoring and Controlling Process Group coordinates project phases in order to implement corrective
or preventive actions to bring the project into compliance with the project management plan This review can result
in recommended and approved updates to the project management plan For example a missed activity finish date
may require adjustments and tradeoffs between budget and schedule objectives In order to reduce or control
overhead managementbyexception procedures and other techniques can be appropriately considered
37 Closing Process Group
The Closing Process Group consists of those processes performed to conclude all activities across all Project
Management Process Groups to formally complete the project phase or contractual obligations This Process
Group when completed verifies that the defined processes are completed within all of the Process Groups to close
the project or a project phase as appropriate and formally establishes that the project or project phase is complete58 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
3 PROJECT MANAGEMENT PROCESSES
This Process Group also formally establishes the premature closure of the project Prematurely closed projects
may include for example aborted projects cancelled projects and projects having a critical situation In specific
cases when some contracts cannot be formally closed (eg claims termination clauses etc) or some activities
are to be transferred to other organizational units specific handover procedures may be arranged and finalized
At project or phase closure the following may occur
• Obtain acceptance by the customer or sponsor to formally close the project or phase
• Conduct postproject or phaseend review
• Record impacts of tailoring to any process
• Document lessons learned
• Apply appropriate updates to organizational process assets
• Archive all relevant project documents in the project management information system (PMIS) to be used
as historical data
• Close out all procurement activities ensuring termination of all relevant agreements and
• Perform team members’ assessments and release project resources
38 Project Information
Throughout the life cycle of the project a significant amount of data and information is collected analyzed
transformed and distributed in various formats to project team members and other stakeholders Project data are
collected as a result of various Executing processes and are shared within the project team The collected data
are analyzed in context and aggregated and transformed to become project information during various Controlling
processes The information may then be communicated verbally or stored and distributed as reports in various
formats
The project data are continuously collected and analyzed during the dynamic context of the project execution
As a result the terms data and information are often used interchangeably in practice The indiscriminate use
of these terms can lead to confusion and misunderstandings by the various project stakeholders The following
guidelines help minimize miscommunication and help the project team use appropriate terminology59©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Work performance data The raw observations and measurements identified during activities performed
to carry out the project work Examples include reported percent of work physically completed quality
and technical performance measures start and finish dates of schedule activities number of change
requests number of defects actual costs actual durations etc
• Work performance information The performance data collected from various controlling processes
analyzed in context and integrated based on relationships across areas Examples of performance
information are status of deliverables implementation status for change requests and forecasted
estimates to complete
• Work performance reports The physical or electronic representation of work performance information
compiled in project documents intended to generate decisions or raise issues actions or awareness
Examples include status reports memos justifications information notes electronic dashboards
recommendations and updates
Figure 35 illustrates the flow of project information across the various processes used to manage the project
Project
Execution
Work Performance Data
Controlling
Processes
Work Performance Information
Project
Management
Plan Updates Overall
Project
Control
Work Performance Reports
Project Team Members
Project Stakeholders
Project
Change
Control
Project
Management
Plan
Project
Communications
Change
Requests
Reports
Figure 35 Project Data Information and Report Flow60 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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39 Role of the Knowledge Areas
The 47 project management processes identified in the PMBOK® Guide are further grouped into ten separate
Knowledge Areas A Knowledge Area represents a complete set of concepts terms and activities that make up
a professional field project management field or area of specialization These ten Knowledge Areas are used on
most projects most of the time Project teams should utilize these ten Knowledge Areas and other Knowledge Areas
as appropriate for their specific project The Knowledge Areas are Project Integration Management Project Scope
Management Project Time Management Project Quality Management Project Human Resource Management
Project Communications Management Project Risk Management Project Procurement Management and Project
Stakeholder Management Each Knowledge Area within the PMBOK® Guide is contained in a separate section
The PMBOK® Guide defines the important aspects of each Knowledge Area and how it integrates with the
five Process Groups As supporting elements the Knowledge Areas provide a detailed description of the process
inputs and outputs along with a descriptive explanation of tools and techniques most frequently used within the
project management processes to produce each outcome A data flow diagram is provided in each Knowledge
Area (Sections 4 through 8) The data flow diagram is a summary level depiction of the process inputs and process
outputs that flow down through all the processes within a specific Knowledge Area (see Figure 36 for data flow
diagram legend) Although the processes are presented here as discrete elements with welldefined interfaces in
practice they are iterative and can overlap and interact in ways not detailed here
Table 31 reflects the mapping of the 47 project management processes within the 5 Project Management
Process Groups and the 10 Knowledge Areas
Process flow
The data flow diagrams show basic steps and interactions Many additional interactions are possible
Interknowledge area relationships
Extraknowledge area relationships
Processes within a
Knowledge Area
External to a Process
Process outside of
Knowledge Area
Figure 36 Data Flow Diagram Legend61©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
3
3 PROJECT MANAGEMENT PROCESSES
Table 31 Project Management Process Group and Knowledge Area Mapping
4 Project
Integration
Management
5 Project Scope
Management
6 Project Time
Management
7 Project Cost
Management
8 Project
Quality
Management
9 Project
Human Resource
Management
10 Project
Communications
Management
11 Project Risk
Management
12 Project
Procurement
Management
13 Project
Stakeholder
Management
Project Management Process Groups
Knowledge Areas Initiating
Process
Group
Closing
Process
Group
Monitoring
and Controlling
Process Group
Executing
Process
Group
Planning
Process
Group
41 Develop
Project Charter
131 Identify
Stakeholders
42 Develop Project
Management Plan
51 Plan Scope
Management
52 Collect
Requirements
53 Define Scope
54 Create WBS
61 Plan Schedule
Management
62 Define
Activities
63 Sequence
Activities
64 Estimate
Activity Resources
65 Estimate
Activity Durations
66 Develop
Schedule
71 Plan Cost
Management
72 Estimate Costs
73 Determine
Budget
81 Plan Quality
Management
91 Plan Human
Resource
Management
101 Plan
Communications
Management
111 Plan Risk
Management
112 Identify Risks
113 Perform
Qualitative Risk
Analysis
114 Perform
Quantitative Risk
Analysis
115 Plan Risk
Responses
121 Plan
Procurement
Management
132 Plan
Stakeholder
Management
43 Direct and
Manage Project
Work
82 Perform Quality
Assurance
92 Acquire Project
Team
93 Develop Project
Team
94 Manage Project
Team
102 Manage
Communications
122 Conduct
Procurements
133 Manage
Stakeholder
Engagement
44 Monitor and
Control Project
Work
45 Perform
Integrated Change
Control
55 Validate Scope
56 Control Scope
67 Control
Schedule
74 Control Costs
83 Control Quality
103 Control
Communications
116 Control Risks
123 Control
Procurements
134 Control
Stakeholder
Engagement
46 Close Project
or Phase
124 Close
Procurements63©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4PROJECT INTEGRATION MANAGEMENT
Project Integration Management includes the processes and activities to identify define combine unify and
coordinate the various processes and project management activities within the Project Management Process
Groups In the project management context integration includes characteristics of unification consolidation
communication and integrative actions that are crucial to controlled project execution through completion
successfully managing stakeholder expectations and meeting requirements Project Integration Management
includes making choices about resource allocation making tradeoffs among competing objectives and
alternatives and managing the interdependencies among the project management Knowledge Areas The
project management processes are usually presented as discrete processes with defined interfaces while in
practice they overlap and interact in ways that cannot be completely detailed in the PMBOK® Guide
Figure 41 provides an overview of the Project Integration Management processes which are as follows
41 Develop Project Charter—The process of developing a document that formally authorizes the
existence of a project and provides the project manager with the authority to apply organizational
resources to project activities
42 Develop Project Management Plan—The process of defining preparing and coordinating all
subsidiary plans and integrating them into a comprehensive project management plan The project’s
integrated baselines and subsidiary plans may be included within the project management plan
43 Direct and Manage Project Work—The process of leading and performing the work defined in the
project management plan and implementing approved changes to achieve the project’s objectives
44 Monitor and Control Project Work—The process of tracking reviewing and reporting project
progress against the performance objectives defined in the project management plan
45 Perform Integrated Change Control—The process of reviewing all change requests approving
changes and managing changes to deliverables organizational process assets project documents
and the project management plan and communicating their disposition
46 Close Project or Phase—The process of finalizing all activities across all of the Project Management
Process Groups to formally complete the phase or project
4464 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
These processes interact with each other and with processes in other Knowledge Areas as described in detail
in Section 3 and Annex A1
The need for Project Integration Management is necessary in situations where individual processes interact
For example a cost estimate needed for a contingency plan involves integrating the processes in the Project Cost
Time and Risk Management Knowledge Areas When additional risks associated with various staffing alternatives
are identified then one or more of those processes may be revisited The project deliverables may also need
integrating with ongoing operations of the performing organization the requesting organization and with the
longterm strategic planning that takes future problems and opportunities into consideration Project Integration
Management also includes the activities needed to manage project documents to ensure consistency with the
project management plan and product service or capability deliverables
Most experienced project management practitioners know there is no single way to manage a project They
apply project management knowledge skills and required processes in a preferred order and with varying rigor to
achieve the desired project performance However the determination that a particular process is not required does
not mean that it should not be addressed The project manager and project team need to address every process and
the project environment to determine the level of implementation for each process within the project If a project
has more than one phase the level of rigor applied within each of the project phases should be appropriate for each
phase This determination is also addressed by the project manager and project team
The integrative nature of projects and project management can be understood by thinking of other types of
activities performed while completing a project Examples of some activities performed by the project management
team are
• Develop review analyze and understand the scope This includes the project and product requirements
criteria assumptions constraints and other influences related to a project and how each will be managed
or addressed within the project
• Transform the collected project information into a project management plan using a structured approach
as described in the PMBOK® Guide
• Perform activities to produce project deliverables and
• Measure and monitor the project’s progress and take appropriate action to meet project objectives65©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
The links among the processes in the Project Management Process Groups are often iterative in nature For
example the Planning Process Group provides the Executing Process Group with a documented project management
plan early in the project and then updates the project management plan if changes occur as the project progresses
1 Inputs
1 Project statement of work
2 Business case
3 Agreements
4 Enterprise environmental
factors
5 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Facilitation techniques
3 Outputs
1 Project charter
1 Inputs
1 Project charter
2 Outputs from other
processes
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Facilitation techniques
3 Outputs
1 Project management plan
1 Inputs
1 Project management plan
2 Approved change requests
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Project management
information system
3 Meetings
3 Outputs
1 Deliverables
2 Work performance data
3 Change requests
4 Project management plan
updates
5 Project documents updates
1 Inputs
1 Project management plan
2 Schedule forecasts
3 Cost forecasts
4 Validated changes
5 Work performance
information
6 Enterprise environmental
factors
7 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Analytical techniques
3 Project management
information system
4 Meetings
3 Outputs
1 Change requests
2 Work performance reports
3 Project management plan
updates
4 Project documents updates
1 Inputs
1 Project management plan
2 Work performance reports
3 Change requests
4 Enterprise environmental
factors
5 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Meetings
3 Change control tools
3 Outputs
1 Approved change requests
2 Change log
3 Project management plan
updates
4 Project documents
updates
1 Inputs
1 Project management plan
2 Accepted deliverables
3 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Analytical techniques
3 Meetings
3 Outputs
1 Final product service or
result transition
2 Organizational process assets
updates
Project Integration
Management Overview
42 Develop Project
Management Plan
41 Develop Project
Charter
43 Direct and Manage
Project Work
44 Monitor and Control
Project Work
45 Perform Integrated
Change Control
46 Close Project or
Phase
Figure 41 Project Integration Management Overview66 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
41 Develop Project Charter
Develop Project Charter is the process of developing a document that formally authorizes the existence of a
project and provides the project manager with the authority to apply organizational resources to project activities
The key benefit of this process is a welldefined project start and project boundaries creation of a formal record of
the project and a direct way for senior management to formally accept and commit to the project The inputs tools
and techniques and outputs for this process are shown in Figure 42 Figure 43 depicts the data flow diagram of
the process
Inputs Tools & Techniques Outputs
1 Project statement of work
2 Business case
3 Agreements
4 Enterprise environmental
factors
5 Organizational process
assets
1 Expert judgment
2 Facilitation techniques
1 Project charter
Figure 42 Develop Project Charter Inputs Tools and Techniques and Outputs67©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
• Agreements
• Business case
• Project statement
of work
• Project
charter
• Organizational process
assets
• Enterprise
environmental factors
41
Develop Project
Charter
42
Develop Project
Management
Plan
Project Integration ManagementProject Initiator
Sponsor
Enterprise
Organization
53
Define Scope
52
Collect
Requirements
51
Plan Scope
Management
111
Plan Risk
Management
131
Identify
Stakeholders
71
Plan Cost
Management
61
Plan Schedule
Management
Figure 43 Develop Project Charter Data Flow Diagram
The project charter establishes a partnership between the performing and requesting organizations In the
case of external projects a formal contract is typically the preferred way to establish an agreement In this
case the project team becomes the seller responding to conditions of an offer to buy from an outside entity
A project charter is still used to establish internal agreements within an organization to assure proper delivery
under the contract The approved project charter formally initiates the project A project manager is identified
and assigned as early in the project as is feasible preferably while the project charter is being developed and
always prior to the start of planning The project charter should be authored by the sponsoring entity The project
charter provides the project manager with the authority to plan and execute the project It is recommended
that the project manager participate in the development of the project charter to obtain a foundational
understanding of the project requirements This understanding will better allow for efficient resources allocation
to project activities68 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
Projects are initiated by an entity external to the project such as a sponsor program or project management
office (PMO) staff person or a portfolio governing body chairperson or authorized representative The project
initiator or sponsor should be at the level that is appropriate to procure funding and commit resources to the
project Projects are initiated due to internal business needs or external influences These needs or influences
often trigger the creation of a needs analysis feasibility study business case or description of the situation that
the project will address Chartering a project validates alignment of the project to the strategy and ongoing work of
the organization A project charter is not considered to be a contract because there is no consideration or money
promised or exchanged in its creation
411 Develop Project Charter Inputs
4111 Project Statement of Work
The project statement of work (SOW) is a narrative description of products services or results to be delivered
by a project For internal projects the project initiator or sponsor provides the statement of work based on business
needs product or service requirements For external projects the statement of work can be received from the
customer as part of a bid document (eg a request for proposal request for information or request for bid) or as
part of a contract The SOW references the following
• Business need An organization’s business need may be based on a market demand technological
advance legal requirement government regulation or environmental consideration Typically the
business need and the costbenefit analysis are contained in the business case to justify the project
• Product scope description The product scope description documents the characteristics of the product
service or results that the project will be undertaken to create The description should also document
the relationship between the products services or results being created and the business need that the
project will address
• Strategic plan The strategic plan documents the organization’s strategic vision goals and objectives
and may contain a highlevel mission statement All projects should be aligned with their organization’s
strategic plan Strategic plan alignment ensures that each project contributes to the overall objections of
the organization69©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
4112 Business Case
The business case or similar document describes the necessary information from a business standpoint to
determine whether or not the project is worth the required investment It is commonly used for decision making
by managers or executives above the project level Typically the business need and the costbenefit analysis are
contained in the business case to justify and establish boundaries for the project and such analysis is usually
completed by a business analyst using various stakeholder inputs The sponsor should agree to the scope and
limitations of the business case The business case is created as a result of one or more of the following
• Market demand (eg a car company authorizing a project to build more fuelefficient cars in response
to gasoline shortages)
• Organizational need (eg due to high overhead costs a company may combine staff functions and
streamline processes to reduce costs)
• Customer request (eg an electric utility authorizing a project to build a new substation to serve a new
industrial park)
• Technological advance (eg an airline authorizing a new project to develop electronic tickets instead of
paper tickets based on technological advances)
• Legal requirement (eg a paint manufacturer authorizing a project to establish guidelines for handling
toxic materials)
• Ecological impacts (eg a company authorizing a project to lessen its environmental impact) or
• Social need (eg a nongovernmental organization in a developing country authorizing a project to provide
potable water systems latrines and sanitation education to communities suffering from high rates of
cholera)
Each of the examples in this list may contain elements of risk that should be addressed In the case of multiphase
projects the business case may be periodically reviewed to ensure that the project is on track to deliver the
business benefits In the early stages of the project life cycle periodic review of the business case by the sponsoring
organization also helps to confirm that the project is still aligned with the business case The project manager is
responsible for ensuring that the project effectively and efficiently meets the goals of the organization and those
requirements of a broad set of stakeholders as defined in the business case70 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4113 Agreements
Agreements are used to define initial intentions for a project Agreements may take the form of contracts
memorandums of understanding (MOUs) service level agreements (SLA) letter of agreements letters of intent
verbal agreements email or other written agreements Typically a contract is used when a project is being
performed for an external customer
4114 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Develop Project Charter
process include but are not limited to
• Governmental standards industry standards or regulations (eg codes of conduct quality standards
or worker protection standards)
• Organizational culture and structure and
• Marketplace conditions
4115 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Develop Project Charter
process include but are not limited to
• Organizational standard processes policies and process definitions
• Templates (eg project charter template) and
• Historical information and lessons learned knowledge base (eg projects records and documents all
project closure information and documentation information about both the results of previous project
selection decisions and previous project performance information and information from the risk
management activity)71©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
412 Develop Project Charter Tools and Techniques
4121 Expert Judgment
Expert judgment is often used to assess the inputs used to develop the project charter Expert judgment is
applied to all technical and management details during this process Such expertise is provided by any group or
individual with specialized knowledge or training and is available from many sources including
• Other units within the organization
• Consultants
• Stakeholders including customers or sponsors
• Professional and technical associations
• Industry groups
• Subject matter experts (SME) and
• Project management office (PMO)
4122 Facilitation Techniques
Facilitation techniques have broad application within project management processes and guide the
development of the project charter Brainstorming conflict resolution problem solving and meeting
management are examples of key techniques used by facilitators to help teams and individuals accomplish
project activities
413 Develop Project Charter Outputs
4131 Project Charter
The project charter is the document issued by the project initiator or sponsor that formally authorizes the
existence of a project and provides the project manager with the authority to apply organizational resources to
project activities It documents the business needs assumptions constraints the understanding of the customer’s
needs and highlevel requirements and the new product service or result that it is intended to satisfy such as72 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
• Project purpose or justification
• Measurable project objectives and related success criteria
• Highlevel requirements
• Assumptions and constraints
• Highlevel project description and boundaries
• Highlevel risks
• Summary milestone schedule
• Summary budget
• Stakeholder list
• Project approval requirements (ie what constitutes project success who decides the project is
successful and who signs off on the project)
• Assigned project manager responsibility and authority level and
• Name and authority of the sponsor or other person(s) authorizing the project charter
42 Develop Project Management Plan
Develop Project Management Plan is the process of defining preparing and coordinating all subsidiary plans
and integrating them into a comprehensive project management plan The key benefit of this process is a central
document that defines the basis of all project work The inputs tools and techniques and outputs for this process
are depicted in Figure 44 Figure 45 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project charter
2 Outputs from other
processes
3 Enterprise environmental
factors
4 Organizational process
assets
1 Expert judgment
2 Facilitation techniques
1 Project management plan
Figure 43 Develop Project Charter Data Flow Diagram73©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
• Project management plan
• Project charter
• Organizational process
assets
• Enterprise
environmental factors
• Communications management plan
• Cost management plan
• Human resource plan
• Procurement management plan
• Process improvement plan
• Quality management plan
• Requirements management plan
• Risk management plan
• Schedule management plan
• Scope management plan
• Stakeholder management plan
• Cost baseline
• Schedule baseline
• Scope baseline
• Project management plan updates
42
Develop Project
Management
Plan
Project Integration Management
61
Plan Schedule
Management
56
Control Scope
51
Plan Scope
Management
74
Control Costs
81
Plan Quality
Management
71
Plan Cost
Management
67
Control Schedule
103
Control
Communications
101
Plan
Communications
Management
91
Plan Human
Resource
Management
134
Control
Stakeholder
Engagement
132
Plan
Stakeholder
Management
124
Close
Procurements
123
Control
Procurements
121
Plan
Procurement
Management
116
Control Risks
111
Plan Risk
Management
43
Direct and
Manage
Project Work
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
46
Close Project
or Phase
Outputs from
Other Processes
Enterprise
Organization
41
Develop Project
Charter
Figure 45 Develop Project Management Plan Data Flow Diagram74 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
The project management plan defines how the project is executed monitored and controlled and closed The
project management plan’s content varies depending upon the application area and complexity of the project It
is developed through a series of integrated processes extending through project closure This process results in
a project management plan that is progressively elaborated by updates and controlled and approved through the
Perform Integrated Change Control (Section 45) process Projects that exist in the context of a program should
develop a project management plan that is consistent with the program management plan For example if the
program management plan indicates all changes exceeding a specified cost need to be reviewed by the change
control board (CCB) then this process and cost threshold needs to be defined in the project management plan
421 Develop Project Management Plan Inputs
4211 Project Charter
Described in Section 4131 The size of the project charter varies depending on the complexity of the
project and the information known at the time of its creation At a minimum the project charter should define
the highlevel boundaries of the project The project manager uses the project charter as the starting point
for initial planning throughout the Initiating Process Group
4212 Outputs from Other Processes
Outputs from many of the other processes described in Sections 5 through 13 are integrated to create the
project management plan Any baselines and subsidiary plans that are an output from other planning processes
are inputs to this process In addition changes to these documents may necessitate updates to the project
management plan
4213 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Develop Project
Management Plan process include but are not limited to
• Governmental or industry standards
• Project management body of knowledge for vertical market (eg construction) andor focus area
(eg environmental safety risk or agile software development)
• Project management information system (eg an automated tool such as a scheduling software tool a
configuration management system an information collection and distribution system or web interfaces
to other online automated systems)75©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
• Organizational structure culture management practices and sustainability
• Infrastructure (eg existing facilities and capital equipment) and
• Personnel administration (eg hiring and termination guidelines employee performance reviews and
employee development and training records)
4214 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Develop Project Management
Plan process include but are not limited to
• Standardized guidelines work instructions proposal evaluation criteria and performance measurement
criteria
• Project management plan template including
○○ Guidelines and criteria for tailoring the organization’s set of standard processes to satisfy the
specific needs of the project and
○○ Project closure guidelines or requirements such as the product validation and acceptance
criteria
• Change control procedures including the steps by which official organization standards policies plans
and procedures or any project documents will be modified and how any changes will be approved and
validated
• Project files from previous projects (eg scope cost schedule and performance measurement baselines
project calendars project schedule network diagrams and risk registers)
• Historical information and lessons learned knowledge base and
• Configuration management knowledge base containing the versions and baselines of all official
organization standards policies procedures and any project documents76 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
422 Develop Project Management Plan Tools and Techniques
4221 Expert Judgment
When developing the project management plan expert judgment is utilized to
• Tailor the process to meet the project needs
• Develop technical and management details to be included in the project management plan
• Determine resources and skill levels needed to perform project work
• Define the level of configuration management to apply on the project
• Determine which project documents will be subject to the formal change control process and
• Prioritize the work on the project to ensure the project resources are allocated to the appropriate work
at the appropriate time
4222 Facilitation Techniques
Described in Section 4122 Facilitation techniques have broad application within project management
processes and are used to guide the development of the project management plan Brainstorming conflict
resolution problem solving and meeting management are key techniques used by facilitators to help teams and
individuals achieve agreement to accomplish project activities
423 Develop Project Management Plan Outputs
4231 Project Management Plan
The project management plan is the document that describes how the project will be executed monitored and
controlled It integrates and consolidates all of the subsidiary plans and baselines from the planning processes
Project baselines include but are not limited to
• Scope baseline (Section 5431)
• Schedule baseline (Section 6631) and
• Cost baseline (Section 7331)77©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
Subsidiary plans include but are not limited to
• Scope management plan (Section 5131)
• Requirements management plan (Section 5132)
• Schedule management plan (Section 6131)
• Cost management plan (Section 7131)
• Quality management plan (Section 8131)
• Process improvement plan (Section 8132)
• Human resource management plan (Section 9131)
• Communications management plan (Section 10131)
• Risk management plan (Section 11131)
• Procurement management plan (Section 12131) and
• Stakeholder management plan (Section 13231)
Among other things the project management plan may also include the following
• Life cycle selected for the project and the processes that will be applied to each phase
• Details of the tailoring decisions specified by the project management team as follows
○○ Project management processes selected by the project management team
○○ Level of implementation for each selected process
○○ Descriptions of the tools and techniques to be used for accomplishing those processes and
○○ Description of how the selected processes will be used to manage the specific project including
the dependencies and interactions among those processes and the essential inputs and outputs
• Description of how work will be executed to accomplish the project objectives
• Change management plan that documents how changes will be monitored and controlled
• Configuration management plan that documents how configuration management will be performed
• Description of how the integrity of the project baselines will be maintained
• Requirements and techniques for communication among stakeholders and
• Key management reviews for content the extent of and timing to address open issues and pending
decisions78 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
The project management plan may be either summary level or detailed and may be composed of one or more
subsidiary plans Each of the subsidiary plans is detailed to the extent required by the specific project Once the
project management plan is baselined it may only be changed when a change request is generated and approved
through the Perform Integrated Change Control process
While the project management plan is one of the primary documents used to manage the project other project
documents are also used These other documents are not part of the project management plan Table 41 is a
representative list of the project management plan components and project documents
Table 41 Differentiation Between the Project Management Plan and Project Documents
Project DocumentsProject Management Plan
Change management plan
Communications management plan
Configuration management plan
Cost baseline
Cost management plan
Human resource management plan
Process improvement plan
Procurement management plan
Scope baseline
• Project scope statement
• WBS
• WBS dictionary
Quality management plan
Requirements management plan
Risk management plan
Schedule baseline
Schedule management plan
Scope management plan
Stakeholder management plan
Activity attributes
Activity cost estimates
Activity duration estimates
Activity list
Activity resource requirements
Agreements
Basis of estimates
Change log
Change requests
Forecasts
• Cost forecast
• Schedule forecast
Issue log
Milestone list
Procurement documents
Procurement statement of work
Project calendars
Project charter
Project funding requirements
Project schedule
Project schedule network diagrams
Project staff assignments
Project statement of work
Quality checklists
Quality control measurements
Quality metrics
Requirements documentation
Requirements traceability matrix
Resource breakdown structure
Resource calendars
Risk register
Schedule data
Seller proposals
Source selection criteria
Stakeholder register
Team performance assessments
Work performance data
Work performance information
Work performance reports79©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
43 Direct and Manage Project Work
Direct and Manage Project Work is the process of leading and performing the work defined in the project
management plan and implementing approved changes to achieve the project’s objectives The key benefit of this
process is that it provides overall management of the project work The inputs tools and techniques and outputs
of this process are depicted in Figure 46 Figure 47 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Approved change
requests
3 Enterprise environmental
factors
4 Organizational process
assets
1 Expert judgment
2 Project management
information system
3 Meetings
1 Deliverables
2 Work performance data
3 Change requests
4 Project management plan
updates
5 Project documents
updates
Figure 46 Direct and Manage Project Work Inputs Tools and Techniques and Outputs80 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
• Organizational process
assets
• Enterprise
environmental factors
• Project
management plan
• Approved
change requests
• Project
management
plan updates
• Project documents
updates
• Deliverables
• Work
performance
data
• Change requests
43
Direct and
Manage Project
Work
42
Develop Project
Management
Plan
103
Control
Communications
83
Control
Quality
116
Control Risks
123
Control
Procurements
134
Control
Stakeholder
Engagement
74
Control Costs
67
Control Schedule
56
Control Scope
55
Validate Scope
45
Perform
Integrated Change
Control
Project Integration Management
Enterprise
Organization
Project
Documents
Figure 47 direct and Manage Project Work data Flow diagram
Direct and Manage Project Work activities include but are not limited to
• Perform activities to accomplish project objectives
• Create project deliverables to meet the planned project work
• Provide train and manage the team members assigned to the project
• Obtain manage and use resources including materials tools equipment and facilities81©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
• Implement the planned methods and standards
• Establish and manage project communication channels both external and internal to the project team
• Generate work performance data such as cost schedule technical and quality progress and status to
facilitate forecasting
• Issue change requests and implement approved changes into the project’s scope plans and environment
• Manage risks and implement risk response activities
• Manage sellers and suppliers
• Manage stakeholders and their engagement and
• Collect and document lessons learned and implement approved process improvement activities
The project manager along with the project management team directs the performance of the planned project
activities and manages the various technical and organizational interfaces that exist within the project The project
manager should also manage any unplanned activities and determine the appropriate course of action The Direct
and Manage Project Work process is directly affected by the project application area Deliverables are produced
as outputs from processes performed to accomplish the project work as planned and scheduled in the project
management plan
During project execution the work performance data is collected and appropriately actioned and communicated
Work performance data includes information about the completion status of deliverables and other relevant
details about project performance The work performance data will also be used as an input to the Monitoring and
Controlling Process Group
Direct and Manage Project Work also requires review of the impact of all project changes and the implementation
of approved changes
• Corrective action—An intentional activity that realigns the performance of the project work with the
project management plan
• Preventive action—An intentional activity that ensures the future performance of the project work is
aligned with the project management plan andor
• Defect repair—An intentional activity to modify a nonconforming product or product component82 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
431 Direct and Manage Project Work Inputs
4311 Project Management Plan
Described in Section 4231 The project management plan contains subsidiary plans concerning all aspects of
the project Those subsidiary plans related to project work include but are not limited to
• Scope management plan (Section 5131)
• Requirements management plan (Section 5132)
• Schedule management plan (Section 6131)
• Cost management plan (Section 7131) and
• Stakeholder management plan (Section 13231)
4312 Approved Change Requests
Approved change requests are an output of the Perform Integrated Change Control process and include those
requests reviewed and approved for implementation by the change control board (CCB) The approved change
request may be a corrective action a preventative action or a defect repair Approved change requests are
scheduled and implemented by the project team and can impact any area of the project or project management
plan The approved change requests can also modify the policies project management plan procedures costs
or budgets or revise the schedules Approved change requests may require implementation of preventive or
corrective actions
4313 Enterprise Environmental Factors
Described in Section 215 The Direct and Manage Project Work process is influenced by enterprise
environmental factors that include but are not limited to
• Organizational company or customer culture and structure of the performing or sponsor organizations
• Infrastructure (eg existing facilities and capital equipment)
• Personnel administration (eg hiring and firing guidelines employee performance reviews and training
records)
• Stakeholder risk tolerances for example allowable cost overrun percentage and
• Project management information system (eg an automated tool suite such as a scheduling software
tool a configuration management system an information collection and distribution system or web
interfaces to other online automated systems)83©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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4
4314 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Direct and Manage Project
Work process include but are not limited to
• Standardized guidelines and work instructions
• Communication requirements defining allowed communication media record retention and security
requirements
• Issue and defect management procedures defining issue and defect controls issue and defect
identification and resolution and action item tracking
• Process measurement database used to collect and make available measurement data on processes
and products
• Project files from previous projects (eg scope cost schedule performance measurement baselines
project calendars project schedule network diagrams risk registers planned response actions defined
risk impact and documented lessons learned) and
• Issue and defect management database(s) containing historical issue and defect status control
information issue and defect resolution and action item results
432 Direct and Manage Project Work Tools and Techniques
4321 Expert Judgment
Expert judgment is used to assess the inputs needed to direct and manage execution of the project management
plan Such judgment and expertise are applied to all technical and management details during this process This
expertise is provided by the project manager and the project management team using specialized knowledge or
training Additional expertise is available from many sources including
• Other units within the organization
• Consultants and other subject matter experts (internal and external)
• Stakeholders including customers suppliers or sponsors and
• Professional and technical associations84 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4322 Project Management Information System
The project management information system which is part of the environmental factors provides access to
tools such as a scheduling tool a work authorization system a configuration management system an information
collection and distribution system or interfaces to other online automated systems Automated gathering and
reporting on key performance indicators (KPI) can be part of this system
4323 Meetings
Meetings are used to discuss and address pertinent topics of the project when directing and managing project
work Attendees at the meetings may include the project manager the project team and appropriate stakeholders
involved or affected by the topics addressed Each attendee should have a defined role to ensure appropriate
participation Meetings tend to be one of three types
• Information exchange
• Brainstorming option evaluation or design or
• Decision making
Meeting types should not be mixed as a best practice Meetings should be prepared with a welldefined agenda
purpose objective and time frame and should be appropriately documented with meeting minutes and action
items Meeting minutes should be stored as defined in the project management plan Meetings are most effective
when all participants can be facetoface in the same location Virtual meetings can be held using audio and
or video conferencing tools but generally require additional preparation and organization to achieve the same
effectiveness of a facetoface meeting
433 Direct and Manage Project Work Outputs
4331 Deliverables
A deliverable is any unique and verifiable product result or capability to perform a service that is required to be
produced to complete a process phase or project Deliverables are typically tangible components completed to
meet the project objectives and can include elements of the project management plan85©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
4332 Work Performance Data
Work performance data are the raw observations and measurements identified during activities being performed
to carry out the project work Data are often viewed as the lowest level of detail from which information is derived
by other processes Data is gathered through work execution and passed to the controlling processes of each
process area for further analysis
Examples of work performance data include work completed key performance indicators technical performance
measures start and finish dates of schedule activities number of change requests number of defects actual costs
and actual durations etc
4333 Change Requests
A change request is a formal proposal to modify any document deliverable or baseline An approved change
request will replace the associated document deliverable or baseline and may result in an update to other parts
of the project management plan When issues are found while project work is being performed change requests
are submitted which may modify project policies or procedures project scope project cost or budget project
schedule or project quality Other change requests cover the needed preventive or corrective actions to forestall
negative impact later in the project Requests for a change can be direct or indirect externally or internally initiated
and can be optional or legallycontractually mandated and may include
• Corrective action—An intentional activity that realigns the performance of the project work with the
project management plan
• Preventive action—An intentional activity that ensures the future performance of the project work is
aligned with the project management plan
• Defect repair—An intentional activity to modify a nonconforming product or product component andor
• Updates—Changes to formally controlled project documents plans etc to reflect modified or additional
ideas or content
4334 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to
• Scope management plan
• Requirements management plan
• Schedule management plan
• Cost management plan
• Quality management plan
• Process improvement plan86 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
• Human resource management plan
• Communications management plan
• Risk management plan
• Procurement management plan
• Stakeholder management plan and
• Project baselines
4335 Project Documents Updates
Project documents that may be updated include but are not limited to
• Requirements documentation
• Project logs (issues assumptions etc)
• Risk register and
• Stakeholder register
44 Monitor and Control Project Work
Monitor and Control Project Work is the process of tracking reviewing and reporting the progress to meet the
performance objectives defined in the project management plan The key benefit of this process is that it allows
stakeholders to understand the current state of the project the steps taken and budget schedule and scope
forecasts The inputs tools and techniques and outputs for this process are depicted in Figure 48 Figure 49
depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Schedule forecasts
3 Cost forecasts
4 Validated changes
5 Work performance
information
6 Enterprise environmental
factors
7 Organizational process
assets
1 Expert judgment
2 Analytical techniques
3 Project management
information system
4 Meetings
1 Change requests
2 Work performance
reports
3 Project management
plan updates
4 Project documents
updates
Figure 48 Monitor and Control Project Work Inputs Tools & Techniques and Outputs87©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
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• Change
requests
• Work
performance
reports
• Schedule forecasts
• Work performance
information
• Cost forecasts
• Validated changes
• Project
management
plan updates
• Project
management
plan
• Project
documents updates
• Work
performance
reports
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
Project Integration Management
• Organizational
process assets
• Enterprise
environmental
factors
94
Manage
Project Team
102
Manage
Communications
116
Control Risks
123
Control
Procurements
Project
Documents
103
Control
Communications
56
Control Scope
55
Validate Scope
67
Control Schedule
74
Control Costs
123
Control
Procurements
116
Control Risks
83
Control Quality
134
Control
Stakeholder
Engagement
Enterprise
Organization
42
Develop Project
Management
Plan
Figure 49 Monitor and control Project Work data Flow diagram88 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
Monitoring is an aspect of project management performed throughout the project Monitoring includes collecting
measuring and distributing performance information and assessing measurements and trends to effect process
improvements Continuous monitoring gives the project management team insight into the health of the project and
identifies any areas that may require special attention Control includes determining corrective or preventive actions
or replanning and following up on action plans to determine whether the actions taken resolved the performance
issue The Monitor and Control Project Work process is concerned with
• Comparing actual project performance against the project management plan
• Assessing performance to determine whether any corrective or preventive actions are indicated and
then recommending those actions as necessary
• Identifying new risks and analyzing tracking and monitoring existing project risks to make sure the risks
are identified their status is reported and that appropriate risk response plans are being executed
• Maintaining an accurate timely information base concerning the project’s product(s) and their associated
documentation through project completion
• Providing information to support status reporting progress measurement and forecasting
• Providing forecasts to update current cost and current schedule information
• Monitoring implementation of approved changes as they occur and
• Providing appropriate reporting on project progress and status to program management when the project
is part of an overall program
441 Monitor and Control Project Work Inputs
4411 Project Management Plan
Described in Section 4231 Monitoring and controlling project work involves looking at all aspects of the
project Subsidiary plans within the project management plan form the basis for controlling the project Subsidiary
plans and baselines include but are not limited to89©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
• Scope management plan (Section 5131)
• Requirements management plan (Section 5132)
• Schedule management plan (Section 6131)
• Cost management plan (Section 7131)
• Quality management plan (Section 8131)
• Process improvement plan (Section 8132)
• Human resource management plan (Section 9131)
• Communications management plan (Section 10131)
• Risk management plan (Section 11131)
• Procurement management plan (Section 12131)
• Stakeholder management plan (Section 13231)
• Scope baseline (Section 5431)
• Schedule baseline (Section 6631) and
• Cost baseline (Section 7331)
4412 Schedule Forecasts
Described in Section 6732 The schedule forecasts are derived from progress against the schedule baseline
and computed time estimate to complete (ETC) This is typically expressed in terms of schedule variance (SV) and
schedule performance index (SPI) For projects not using earned value management variances against the planned
finish dates and forecasted finish dates are provided
The forecast may be used to determine if the project is still within defined tolerance ranges and identify any
necessary change requests
4413 Cost Forecasts
Described in Section 7432 The cost forecasts are derived from progress against the cost baseline and computed
estimates to complete (ETC) This is typically expressed in terms of cost variance (CV) and cost performance index
(CPI) An estimate at completion (EAC) can be compared to the budget at completion (BAC) to see if the project is
still within tolerance ranges or if a change request is required For projects not using earned value management
variances against the planned versus actual expenditures and forecasted final costs are provided90 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4414 Validated Changes
Described in Section 8332 Approved changes that result from the Perform Integrated Change Control process
require validation to ensure that the change was appropriately implemented A validated change provides the
necessary data to confirm that the change was appropriately executed
4415 Work Performance Information
Work performance information is the performance data collected from various controlling processes analyzed
in context and integrated based on relationships across areas Thus work performance data has been transformed
into work performance information Data in itself cannot be used in the decisionmaking process as it has only
outofcontext meaning Work performance information however is correlated and contextualized and provides a
sound foundation for project decisions
Work performance information is circulated through communication processes Examples of performance
information are status of deliverables implementation status for change requests and forecasted estimates to
complete
4416 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Monitor and Control
Project Work process include but are not limited to
• Governmental or industry standards (eg regulatory agency regulations codes of conduct product
standards quality standards and workmanship standards)
• Organization work authorization systems
• Stakeholder risk tolerances and
• Project management information system (eg an automated tool suite such as a scheduling software
tool a configuration management system an information collection and distribution system or web
interfaces to other online automated systems)91©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
4417 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Monitor and Control Project
Work process include but are not limited to
• Organizational communication requirements
• Financial controls procedures (eg time reporting required expenditure and disbursement reviews
accounting codes and standard contract provisions)
• Issue and defect management procedures defining issue and defect controls issue and defect
identification and resolution and action item tracking
• Change control procedures including those for scope schedule cost and quality variances
• Risk control procedures including risk categories probability definition and impact and probability and
impact matrix
• Process measurement database used to make available measurement data on processes and products
and
• Lessons learned database
442 Monitor and Control Project Work Tools and Techniques
4421 Expert Judgment
Expert judgment is used by the project management team to interpret the information provided by the monitor
and control processes The project manager in collaboration with the team determines the actions required to
ensure that project performance matches expectations
4422 Analytical Techniques
Analytical techniques are applied in project management to forecast potential outcomes based on possible
variations of project or environmental variables and their relationships with other variables Examples of analytical
techniques used in projects are
• Regression analysis
• Grouping methods
• Causal analysis92 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
• Root cause analysis
• Forecasting methods (eg time series scenario building simulation etc)
• Failure mode and effect analysis (FMEA)
• Fault tree analysis (FTA)
• Reserve analysis
• Trend analysis
• Earned value management and
• Variance analysis
4423 Project Management Information System
The project management information system which is part of enterprise environmental factors provides access
to automated tools such as scheduling cost and resourcing tools performance indicators databases project
records and financials used during the Monitor and Control Project Work process
4424 Meetings
Described in Section 4323 Meetings may be facetoface virtual formal or informal They may include
project team members stakeholders and others involved in or affected by the project Types of meetings include
but are not limited to user groups and review meetings
443 Monitor and Control Project Work Outputs
4431 Change Requests
As a result of comparing planned results to actual results change requests may be issued to expand adjust or
reduce project scope product scope or quality requirements and schedule or cost baselines Change requests may
necessitate the collection and documentation of new requirements Changes can impact the project management
plan project documents or product deliverables Changes that meet the project’s change control criteria should go
through the integrated change control process established for the project Changes may include but are not limited
to the following93©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
• Corrective action—An intentional activity that realigns the performance of the project work with the
project management plan
• Preventive action—An intentional activity that ensures the future performance of the project work is
aligned with the project management plan and
• Defect repair—An intentional activity to modify a nonconforming product or product component
4432 Work Performance Reports
Work performance reports are the physical or electronic representation of work performance information
compiled in project documents intended to generate decisions actions or awareness Project information may be
communicated verbally from person to person However in order to record store and sometimes distribute work
performance information a physical or electronic representation in the form of project documents is required Work
performance reports are a subset of project documents which are intended to create awareness and generate
decisions or actions Specific work performance metrics may be defined at the start of the project and included in
the normal work performance reports provided to key stakeholders
Examples of work performance reports include status reports memos justifications information notes
recommendations and updates
4433 Project Management Plan Updates
Changes identified during the Monitor and Control Project Work process may affect the overall project
management plan These changes after being processed through the appropriate change control process can lead
to project management plan updates Project management plan elements that may be updated include but are
not limited to
• Scope management plan (Section 5131)
• Requirements management plan (Section 5132)
• Schedule management plan (Section 6131)
• Cost management plan (Section 7131)
• Quality management plan (Section 8131)
• Scope baseline (Section 5431)
• Schedule baseline (Section 6631) and
• Cost baseline (Section 7331)94 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4434 Project Documents Updates
Project documents that may be updated include but are not limited to
• Schedule and cost forecasts
• Work performance reports and
• Issue log
45 Perform Integrated Change Control
Perform Integrated Change Control is the process of reviewing all change requests approving changes and
managing changes to deliverables organizational process assets project documents and the project management
plan and communicating their disposition It reviews all requests for changes or modifications to project documents
deliverables baselines or the project management plan and approves or rejects the changes The key benefit of
this process is that it allows for documented changes within the project to be considered in an integrated fashion
while reducing project risk which often arises from changes made without consideration to the overall project
objectives or plans The inputs tools and techniques and outputs of this process are depicted in Figure 410 Figure
411 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Work performance
reports
3 Change requests
4 Enterprise environmental
factors
5 Organizational process
assets
1 Expert judgment
2 Meetings
3 Change control tools
1 Approved change
requests
2 Change log
3 Project management plan
updates
4 Project documents
updates
Figure 410 Perform Integrated Change Control Inputs Tools & Techniques and Outputs95©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
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• Project management
plan
• Project management
plan updates
• Project documents
updates• Change requests
• Change requests
• Approved change
requests
• Change log
• Change requests
• Work performance
reports
Project Integration Management
• Organizational
process assets
• Enterprise
environmental
factors
83
Control
Quality
123
Control
Procurements
133
Manage
Stakeholder
Engagement
Project
Documents
83
Control Quality
82
Perform Quality
Assurance
74
Control Costs
67
Control Schedule
56
Control Scope
55
Validate Scope
116
Control Risks
122
Conduct
Procurements
103
Control
Communications
94
Manage
Project Team
123
Control
Procurements
133
Manage
Stakeholder
Engagement
134
Control
Stakeholder
Engagement
121
Plan
Procurement
Management
Enterprise
Organization
45
Perform
Integrated
Change Control
44
Monitor and
Control Project
Work
43
Direct and
Manage Project
Work
42
Develop Project
Management
Plan
Figure 411 Perform Integrated change control data Flow diagram96 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
The Perform Integrated Change Control process is conducted from project inception through completion and is
the ultimate responsibility of the project manager The project management plan the project scope statement and
other deliverables are maintained by carefully and continuously managing changes either by rejecting changes
or by approving changes thereby assuring that only approved changes are incorporated into a revised baseline
Changes may be requested by any stakeholder involved with the project Although changes may be initiated
verbally they should be recorded in written form and entered into the change management andor configuration
management system Change requests are subject to the process specified in the change control and configuration
control systems Those change request processes may require information on estimated time impacts and estimated
cost impacts
Every documented change request needs to be either approved or rejected by a responsible individual usually
the project sponsor or project manager The responsible individual will be identified in the project management plan
or by organizational procedures When required the Perform Integrated Change Control process includes a change
control board (CCB) which is a formally chartered group responsible for reviewing evaluating approving delaying
or rejecting changes to the project and for recording and communicating such decisions Approved change
requests can require new or revised cost estimates activity sequences schedule dates resource requirements
and analysis of risk response alternatives These changes can require adjustments to the project management
plan and other project documents The applied level of change control is dependent upon the application area
complexity of the specific project contract requirements and the context and environment in which the project is
performed Customer or sponsor approval may be required for certain change requests after CCB approval unless
they are part of the CCB
Configuration control is focused on the specification of both the deliverables and the processes while change
control is focused on identifying documenting and approving or rejecting changes to the project documents
deliverables or baselines
Some of the configuration management activities included in the Perform Integrated Change Control process
are as follows
• Configuration identification Identification and selection of a configuration item to provide the basis for
which the product configuration is defined and verified products and documents are labeled changes
are managed and accountability is maintained97©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Configuration status accounting Information is recorded and reported as to when appropriate
data about the configuration item should be provided This information includes a listing of approved
configuration identification status of proposed changes to the configuration and the implementation
status of approved changes
• Configuration verification and audit Configuration verification and configuration audits ensure the
composition of a project’s configuration items is correct and that corresponding changes are registered
assessed approved tracked and correctly implemented This ensures the functional requirements
defined in the configuration documentation have been met
451 Perform Integrated Change Control Inputs
4511 Project Management Plan
Described in Section 4231 Elements of the project management plan that may be used include but are not
limited to
• Scope management plan which contains the procedures for scope changes
• Scope baseline which provides product definition and
• Change management plan which provides the direction for managing the change control process and
documents the formal change control board (CCB)
Changes are documented and updated within the project management plan as part of the change and
configuration management processes
4512 Work Performance Reports
Described in Section 4432 Work performance reports of particular interest to the Perform Integrated Change
Control process include resource availability schedule and cost data and earned value management (EVM) reports
burnup or burndown charts
4513 Change Requests
All of the Monitoring and Controlling processes and many of the Executing processes produce change requests
as an output Change requests may include corrective action preventive action and defect repairs However
corrective and preventive actions do not normally affect the project baselines—only the performance against the
baselines98 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4514 Enterprise Environmental Factors
Described in Section 215 The following enterprise environmental factor can influence the Perform Integrated
Change Control process project management information system The project management information system
may include the scheduling software tool a configuration management system an information collection and
distribution system or web interfaces to other online automated systems
4515 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Perform Integrated Change
Control process include but are not limited to
• Change control procedures including the steps by which official organization standards policies plans
and other project documents will be modified and how any changes will be approved validated and
implemented
• Procedures for approving and issuing change authorizations
• Process measurement database used to collect and make available measurement data on processes
and products
• Project documents (eg scope cost and schedule baselines project calendars project schedule network
diagrams risk registers planned response actions and defined risk impact) and
• Configuration management knowledge base containing the versions and baselines of all official
organization standards policies procedures and any project documents
452 Perform Integrated Change Control Tools and Techniques
4521 Expert Judgment
In addition to the project management team’s expert judgment stakeholders may be asked to provide their
expertise and may be asked to sit on the change control board (CCB) Such judgment and expertise are applied to
any technical and management details during this process and may be provided by various sources for example99©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
• Consultants
• Stakeholders including customers or sponsors
• Professional and technical associations
• Industry groups
• Subject matter experts (SMEs) and
• Project management office (PMO)
4522 Meetings
In this case these meetings are usually referred to as change control meetings When needed for the project a
change control board (CCB) is responsible for meeting and reviewing the change requests and approving rejecting
or other disposition of those changes The CCB may also review configuration management activities The roles and
responsibilities of these boards are clearly defined and agreed upon by appropriate stakeholders and documented
in the change management plan CCB decisions are documented and communicated to the stakeholders for
information and followup actions
4523 Change Control Tools
In order to facilitate configuration and change management manual or automated tools may be used Tool
selection should be based on the needs of the project stakeholders including organizational and environmental
considerations andor constraints
Tools are used to manage the change requests and the resulting decisions Additional considerations should
be made for communication to assist the CCB members in their duties as well as distribute the decisions to the
appropriate stakeholders
453 Perform Integrated Change Control Outputs
4531 Approved Change Requests
Change requests are processed according to the change control system by the project manager CCB or by an
assigned team member Approved change requests will be implemented through the Direct and Manage Project
Work process The disposition of all change requests approved or not will be updated in the change log as part of
updates to the project documents100 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4532 Change Log
A change log is used to document changes that occur during a project These changes and their impact to
the project in terms of time cost and risk are communicated to the appropriate stakeholders Rejected change
requests are also captured in the change log
4533 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to
• Any subsidiary plans and
• Baselines that are subject to the formal change control process
Changes to baselines should only show the changes from the current time forward Past performance may not
be changed This protects the integrity of the baselines and the historical data of past performance
4534 Project Documents Updates
Project documents that may be updated as a result of the Perform Integrated Change Control process include
all documents specified as being subject to the project’s formal change control process
46 Close Project or Phase
Close Project or Phase is the process of finalizing all activities across all of the Project Management Process
Groups to formally complete the project or phase The key benefit of this process is that it provides lessons learned
the formal ending of project work and the release of organization resources to pursue new endeavors The inputs
tools and techniques and outputs of this process are depicted in Figure 412 Figure 413 depicts the data flow
diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Accepted deliverables
3 Organizational process
assets
1 Expert judgment
2 Analytical techniques
3 Meetings
1 Final product service or
result transition
2 Organizational process
assets updates
Figure 412 Close Project or Phase Inputs Tools & Techniques and Outputs101©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4• Project
charter
46
Close Project
or Phase
42
Develop Project
Management
Plan
Project Integration Management
Enterprise
Organization
Customer
55
Validate Scope
• Project
management
plan
• Accepted
deliverables
• Organizational
process
assets
• Organizational process
assets updates
• Final product
service or result
transition
Figure 413 Close Project or Phase Data Flow Diagram
When closing the project the project manager reviews all prior information from the previous phase closures to
ensure that all project work is completed and that the project has met its objectives Since project scope is measured
against the project management plan the project manager reviews the scope baseline to ensure completion before
considering the project closed The Close Project or Phase process also establishes the procedures to investigate
and document the reasons for actions taken if a project is terminated before completion In order to successfully
achieve this the project manager needs to engage all the proper stakeholders in the process
This includes all planned activities necessary for administrative closure of the project or phase including step
bystep methodologies that address
• Actions and activities necessary to satisfy completion or exit criteria for the phase or project
• Actions and activities necessary to transfer the project’s products services or results to the next phase
or to production andor operations and
• Activities needed to collect project or phase records audit project success or failure gather lessons
learned and archive project information for future use by the organization102 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
461 Close Project or Phase Inputs
4611 Project Management Plan
Described in Section 4231 The project management plan becomes the agreement between the project
manager and project sponsor defining what constitutes project completion
4612 Accepted Deliverables
Described in Section 55 Accepted deliverables may include approved product specifications delivery
receipts and work performance documents Partial or interim deliverables may also be included for phased or
cancelled projects
4613 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Close Project or Phase
process include but are not limited to
• Project or phase closure guidelines or requirements (eg administrative procedures project audits
project evaluations and transition criteria) and
• Historical information and lessons learned knowledge base (eg project records and documents all
project closure information and documentation information about both the results of previous project
selection decisions and previous project performance information and information from risk management
activities)
462 Close Project or Phase Tools and Techniques
4621 Expert Judgment
Expert judgment is applied when performing administrative closure activities These experts ensure the project
or phase closure is performed to the appropriate standards Expertise is available from many sources including
but not limited to
• Other project managers within the organization
• Project management office (PMO) and
• Professional and technical associations103©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
4622 Analytical Techniques
Described in Section 4422 Examples of analytical techniques used in project closeout are
• Regression analysis and
• Trend analysis
4623 Meetings
Described in Section 4323 Meetings may be facetoface virtual formal or informal This may include project
team members and other stakeholders involved in or affected by the project Types of meetings include but are not
limited to lessons learned closeout user group and review meetings
463 Close Project or Phase Outputs
4631 Final Product Service or Result Transition
This output refers to the transition of the final product service or result that the project was authorized to
produce (or in the case of phase closure the intermediate product service or result of that phase)
4632 Organizational Process Assets Updates
The organizational process assets that are updated as a result of the Close Project or Phase process include
but are not limited to104 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
• Project files—Documentation resulting from the project’s activities for example project management
plan scope cost schedule and project calendars risk registers and other registers change management
documentation planned risk response actions and risk impact
• Project or phase closure documents—Project or phase closure documents consisting of formal
documentation that indicates completion of the project or phase and the transfer of the completed
project or phase deliverables to others such as an operations group or to the next phase During project
closure the project manager reviews prior phase documentation customer acceptance documentation
from the Validate Scope process (Section 54) and the contract (if applicable) to ensure that all project
requirements are completed prior to finalizing the closure of the project If the project was terminated
prior to completion the formal documentation indicates why the project was terminated and formalizes
the procedures for the transfer of the finished and unfinished deliverables of the cancelled project to
others
• Historical information—Historical information and lessons learned information are transferred to the
lessons learned knowledge base for use by future projects or phases This can include information on
issues and risks as well as techniques that worked well that can be applied to future projects105©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
PROJECT SCOPE MANAGEMENT
Project Scope Management includes the processes required to ensure that the project includes all the work
required and only the work required to complete the project successfully Managing the project scope is primarily
concerned with defining and controlling what is and is not included in the project
Figure 51 provides an overview of the Project Scope Management processes which include the following
51 Plan Scope Management—The process of creating a scope management plan that documents how
the project scope will be defined validated and controlled
52 Collect Requirements—The process of determining documenting and managing stakeholder needs
and requirements to meet project objectives
53 Define Scope—The process of developing a detailed description of the project and product
54 Create WBS—The process of subdividing project deliverables and project work into smaller more
manageable components
55 Validate Scope—The process of formalizing acceptance of the completed project deliverables
56 Control Scope—The process of monitoring the status of the project and product scope and managing
changes to the scope baseline
These processes interact with each other and with processes in other Knowledge Areas as described in detail
in Section 3 and Annex A1
In the project context the term scope can refer to
• Product scope The features and functions that characterize a product service or result andor
• Project scope The work performed to deliver a product service or result with the specified features and
functions The term project scope is sometimes viewed as including product scope
The processes used to manage project scope as well as the supporting tools and techniques can vary
by project The scope baseline for the project is the approved version of the project scope statement work
breakdown structure (WBS) and its associated WBS dictionary A baseline can be changed only through formal
change control procedures and is used as a basis for comparison while performing Validate Scope and Control
Scope processes as well as other controlling processes
55106 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
Completion of the project scope is measured against the project management plan (Section 4231) Completion
of the product scope is measured against the product requirements (Section 52) The Project Scope Management
processes need to be well integrated with the other Knowledge Area processes so that the work of the project will
result in delivery of the specified product scope
1 Inputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Meetings
3 Outputs
1 Scope management plan
2 Requirements management
plan
1 Inputs
1 Scope management plan
2 Requirements management
plan
3 Stakeholder management plan
4 Project charter
5 Stakeholder register
2 Tools & Techniques
1 Interviews
2 Focus groups
3 Facilitated workshops
4 Group creativity techniques
5 Group decisionmaking
techniques
6 Questionnaires and surveys
7 Observations
8 Prototypes
9 Benchmarking
10 Context diagrams
11 Document analysis
3 Outputs
1 Requirements documentation
2 Requirements traceability
matrix
1 Inputs
1 Scope management plan
2 Project charter
3 Requirements documentation
4 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Product analysis
3 Alternatives generation
4 Facilitated workshops
3 Outputs
1 Project scope statement
2 Project documents updates
1 Inputs
1 Scope management plan
2 Project scope statement
3 Requirements documentation
4 Enterprise environmental
factors
5 Organizational process
assets
2 Tools & Techniques
1 Decomposition
2 Expert judgment
3 Outputs
1 Scope baseline
2 Project documents updates
1 Inputs
1 Project management plan
2 Requirements documentation
3 Requirements traceability
matrix
4 Verified deliverables
5 Work performance data
2 Tools & Techniques
1 Inspection
2 Group decisionmaking
techniques
3 Outputs
1 Accepted deliverables
2 Change requests
3 Work performance information
4 Project documents updates
1 Inputs
1 Project management plan
2 Requirements documentation
3 Requirements traceability
matrix
4 Work performance data
5 Organizational process assets
2 Tools & Techniques
1 Variance analysis
3 Outputs
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents updates
5 Organizational process assets
updates
Project Scope Management
Overview
52 Collect
Requirements
51 Plan Scope
Management 53 Define Scope
54 Create WBS
55 Validate Scope
56 Control Scope
Figure 51 Project Scope Management Overview107©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
51 Plan Scope Management
Plan Scope Management is the process of creating a scope management plan that documents how the project
scope will be defined validated and controlled The key benefit of this process is that it provides guidance and
direction on how scope will be managed throughout the project The inputs tools and techniques and outputs of
this process are depicted in Figure 52 Figure 53 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process
assets
1 Expert judgment
2 Meetings
1 Scope management plan
2 Requirements
management plan
Figure 52 Plan Scope Management Inputs Tools & Techniques and Outputs
51
Plan Scope
Management
52
Collect
Requirements
53
Define
Scope
54
Create
WBS
Project Scope Management
Enterprise
Organization
41
Develop Project
Charter
42
Develop Project
Management
Plan
• Project charter
• Project
management
plan • Scope
management
plan
• Requirements
management
plan
• Enterprise
environmental factors
• Organizational
process assets
Figure 53 Plan Scope Management Data Flow Diagram108 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
The scope management plan is a component of the project or program management plan that describes how the
scope will be defined developed monitored controlled and verified The development of the scope management
plan and the detailing of the project scope begin with the analysis of information contained in the project charter
(Section 4131) the latest approved subsidiary plans of the project management plan (Section 4231) historical
information contained in the organizational process assets (Section 214) and any other relevant enterprise
environmental factors (Section 215) This plan helps reduce the risk of project scope creep
511 Plan Scope Management Inputs
5111 Project Management Plan
Described in Section 4231 Approved subsidiary plans of the project management plan are used to create the
scope management plan and influence the approach taken for planning scope and managing project scope
5112 Project Charter
Described in Section 4131 The project charter is used to provide the project context needed to plan the scope
management processes It provides the highlevel project description and product characteristics from the project
statement of work
5113 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Plan Scope Management
process include but are not limited to
• Organization’s culture
• Infrastructure
• Personnel administration and
• Marketplace conditions109©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
5114 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Plan Scope Management
process include but are not limited to
• Policies and procedures and
• Historical information and lessons learned knowledge base
512 Plan Scope Management Tools and Techniques
5121 Expert Judgment
Expert judgment refers to input received from knowledgeable and experienced parties Expertise may be
provided by any group or person with specialized education knowledge skill experience or training in developing
scope management plans
5122 Meetings
Project teams may attend project meetings to develop the scope management plan Attendees at these
meetings may include the project manager the project sponsor selected project team members selected
stakeholders anyone with responsibility for any of the scope management processes and others as needed
513 Plan Scope Management Outputs
5131 Scope Management Plan
The scope management plan is a component of the project or program management plan that describes how the
scope will be defined developed monitored controlled and verified The scope management plan is a major input
into the Develop Project Management Plan process and the other scope management processes The components
of a scope management plan include110 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
• Process for preparing a detailed project scope statement
• Process that enables the creation of the WBS from the detailed project scope statement
• Process that establishes how the WBS will be maintained and approved
• Process that specifies how formal acceptance of the completed project deliverables will be obtained and
• Process to control how requests for changes to the detailed project scope statement will be processed
This process is directly linked to the Perform Integrated Change Control process (Section 45)
The scope management plan can be formal or informal broadly framed or highly detailed based on the needs
of the project
5132 Requirements Management Plan
The requirements management plan is a component of the project management plan that describes how
requirements will be analyzed documented and managed The phasetophase relationship described in
Section 2421 strongly influences how requirements are managed The project manager chooses the most
effective relationship for the project and documents this approach in the requirements management plan Many of
the requirements management plan components are based on that relationship
Components of the requirements management plan can include but are not limited to
• How requirements activities will be planned tracked and reported
• Configuration management activities such as how changes to the product will be initiated how impacts
will be analyzed how they will be traced tracked and reported as well as the authorization levels
required to approve these changes
• Requirements prioritization process
• Product metrics that will be used and the rationale for using them and
• Traceability structure to reflect which requirement attributes will be captured on the traceability matrix
52 Collect Requirements
Collect Requirements is the process of determining documenting and managing stakeholder needs and
requirements to meet project objectives The key benefit of this process is that it provides the basis for defining and
managing the project scope including product scope The inputs tools and techniques and outputs of this process
are depicted in Figure 54 Figure 55 depicts the data flow diagram of the process111©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
Inputs Tools & Techniques Outputs
1 Scope management plan
2 Requirements
management plan
3 Stakeholder management
plan
4 Project charter
5 Stakeholder register
1 Interviews
2 Focus groups
3 Facilitated workshops
4 Group creativity
techniques
5 Group decisionmaking
techniques
6 Questionnaires and
surveys
7 Observations
8 Prototypes
9 Benchmarking
10 Context diagrams
11 Document analysis
1 Requirements
documentation
2 Requirements traceability
matrix
Figure 54 collect requirements Inputs tools & techniques and outputs
• Change log
Project Scope Management
52
Collect
Requirements
51
Plan Scope
Management
53
Define
Scope
54
Create
WBS
55
Validate
Scope
56
Control
Scope
• Project charter
• Stakeholder
register • Stakeholder
management plan
• Requirements
documentation
• Requirements
management plan
• Scope management plan
• Requirements traceability
matrix
131
Identify
Stakeholders
132
Plan
Stakeholder
Management
81
Plan Quality
Management
121
Plan
Procurement
Management
41
Develop Project
Charter
Figure 55 collect requirements data Flow diagram112 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
The project’s success is directly influenced by active stakeholder involvement in the discovery and decomposition
of needs into requirements and by the care taken in determining documenting and managing the requirements
of the product service or result of the project Requirements include conditions or capabilities that are to be
met by the project or present in the product service or result to satisfy an agreement or other formally imposed
specification Requirements include the quantified and documented needs and expectations of the sponsor
customer and other stakeholders These requirements need to be elicited analyzed and recorded in enough detail
to be included in the scope baseline and to be measured once project execution begins Requirements become
the foundation of the WBS Cost schedule quality planning and sometimes procurement are all based upon
these requirements The development of requirements begins with an analysis of the information contained in the
project charter (Section 4131) the stakeholder register (Section 13131) and the stakeholder management plan
(Section 13231)
Many organizations categorize requirements into different types such as business and technical solutions the
former referring to stakeholder needs and the latter as to how those needs will be implemented Requirements can
be grouped into classifications allowing for further refinement and detail as the requirements are elaborated These
classifications include
• Business requirements which describe the higherlevel needs of the organization as a whole such as the
business issues or opportunities and reasons why a project has been undertaken
• Stakeholder requirements which describe needs of a stakeholder or stakeholder group
• Solution requirements which describe features functions and characteristics of the product service
or result that will meet the business and stakeholder requirements Solution requirements are further
grouped into functional and nonfunctional requirements
○○ Functional requirements describe the behaviors of the product Examples include processes
data and interactions with the product
○○ Nonfunctional requirements supplement functional requirements and describe the environmental
conditions or qualities required for the product to be effective Examples include reliability
security performance safety level of service supportability retentionpurge etc
• Transition requirements describe temporary capabilities such as data conversion and training
requirements needed to transition from the current asis state to the future tobe state
• Project requirements which describe the actions processes or other conditions the project needs
to meet
• Quality requirements which capture any condition or criteria needed to validate the successful completion
of a project deliverable or fulfillment of other project requirements113©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
521 Collect Requirements Inputs
5211 Scope Management Plan
Described in Section 5131 The scope management plan provides clarity as to how project teams will determine
which type of requirements need to be collected for the project
5212 Requirements Management Plan
Described in Section 5132 The requirements management plan provides the processes that will be used
throughout the Collect Requirements process to define and document the stakeholder needs
5213 Stakeholder Management Plan
Described in Section 13231 The stakeholder management plan is used to understand stakeholder
communication requirements and the level of stakeholder engagement in order to assess and adapt to the level of
stakeholder participation in requirements activities
5214 Project Charter
Described in Section 4131 The project charter is used to provide the highlevel description of the product
service or result of the project so that detailed requirements can be developed
5215 Stakeholder Register
Described in Section 13131 The stakeholder register is used to identify stakeholders who can provide
information on the requirements The stakeholder register also captures major requirements and main expectations
stakeholders may have for the project114 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
522 Collect Requirements Tools and Techniques
5221 Interviews
An interview is a formal or informal approach to elicit information from stakeholders by talking to them directly
It is typically performed by asking prepared and spontaneous questions and recording the responses Interviews
are often conducted on an individual basis between an interviewer and an interviewee but may involve multiple
interviewers andor multiple interviewees Interviewing experienced project participants sponsors and other
executives and subject matter experts can aid in identifying and defining the features and functions of the desired
product deliverables Interviews are also useful for obtaining confidential information
5222 Focus Groups
Focus groups bring together prequalified stakeholders and subject matter experts to learn about their
expectations and attitudes about a proposed product service or result A trained moderator guides the group
through an interactive discussion designed to be more conversational than a oneonone interview
5223 Facilitated Workshops
Facilitated workshops are focused sessions that bring key stakeholders together to define product requirements
Workshops are considered a primary technique for quickly defining crossfunctional requirements and reconciling
stakeholder differences Because of their interactive group nature wellfacilitated sessions can build trust foster
relationships and improve communication among the participants which can lead to increased stakeholder
consensus In addition issues can be discovered earlier and resolved more quickly than in individual sessions
For example facilitated workshops called joint application designdevelopment (JAD) sessions are used in the
software development industry These facilitated sessions focus on bringing business subject matter experts and
the development team together to improve the software development process In the manufacturing industry quality
function deployment (QFD) is another example of a facilitated workshop technique that helps determine critical
characteristics for new product development QFD starts by collecting customer needs also known as voice of the
customer (VOC) These needs are then objectively sorted and prioritized and goals are set for achieving them User
stories which are short textual descriptions of required functionality are often developed during a requirements
workshop User stories describe the stakeholder who benefits from the feature (role) what the stakeholder needs to
accomplish (goal) and the benefit to the stakeholder (motivation) User stories are widely used with agile methods115©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
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5224 Group Creativity Techniques
Several group activities can be organized to identify project and product requirements Some of the group
creativity techniques that can be used are
• Brainstorming A technique used to generate and collect multiple ideas related to project and product
requirements Although brainstorming by itself does not include voting or prioritization it is often used
with other group creativity techniques that do
• Nominal group technique A technique that enhances brainstorming with a voting process used to rank
the most useful ideas for further brainstorming or for prioritization
• Ideamind mapping A technique in which ideas created through individual brainstorming sessions are
consolidated into a single map to reflect commonality and differences in understanding and generate
new ideas
• Affinity diagram A technique that allows large numbers of ideas to be classified into groups for review
and analysis
• Multicriteria decision analysis A technique that utilizes a decision matrix to provide a systematic
analytical approach for establishing criteria such as risk levels uncertainty and valuation to evaluate
and rank many ideas
5225 Group DecisionMaking Techniques
A group decisionmaking technique is an assessment process having multiple alternatives with an expected
outcome in the form of future actions These techniques can be used to generate classify and prioritize product
requirements
There are various methods of reaching a group decision such as
• Unanimity A decision that is reached whereby everyone agrees on a single course of action One way to
reach unanimity is the Delphi technique in which a selected group of experts answers questionnaires and
provides feedback regarding the responses from each round of requirements gathering The responses
are only available to the facilitator to maintain anonymity
• Majority A decision that is reached with support obtained from more than 50 of the members of the
group Having a group size with an uneven number of participants can ensure that a decision will be
reached rather than resulting in a tie
• Plurality A decision that is reached whereby the largest block in a group decides even if a majority is
not achieved This method is generally used when the number of options nominated is more than two
• Dictatorship In this method one individual makes the decision for the group116 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
All of these group decisionmaking techniques can be applied to the group creativity techniques used in the
Collect Requirements process
5226 Questionnaires and Surveys
Questionnaires and surveys are written sets of questions designed to quickly accumulate information from a
large number of respondents Questionnaires andor surveys are most appropriate with varied audiences when
a quick turnaround is needed when respondents are geographically dispersed and where statistical analysis is
appropriate
5227 Observations
Observations provide a direct way of viewing individuals in their environment and how they perform their jobs or
tasks and carry out processes It is particularly helpful for detailed processes when the people that use the product
have difficulty or are reluctant to articulate their requirements Observation is also known as job shadowing
It is usually done externally by an observer viewing a business expert performing a job It can also be done by
a participant observer who actually performs a process or procedure to experience how it is done to uncover
hidden requirements
5228 Prototypes
Prototyping is a method of obtaining early feedback on requirements by providing a working model of the
expected product before actually building it Since a prototype is tangible it allows stakeholders to experiment
with a model of the final product rather than being limited to discussing abstract representations of their
requirements Prototypes support the concept of progressive elaboration in iterative cycles of mockup creation
user experimentation feedback generation and prototype revision When enough feedback cycles have been
performed the requirements obtained from the prototype are sufficiently complete to move to a design or build
phase Storyboarding is a prototyping technique showing sequence or navigation through a series of images or
illustrations Storyboards are used on a variety of projects in a variety of industries such as film advertising
instructional design and on agile and other software development projects In software development storyboards
use mockups to show navigation paths through webpages screens or other user interfaces
5229 Benchmarking
Benchmarking involves comparing actual or planned practices such as processes and operations to those
of comparable organizations to identify best practices generate ideas for improvement and provide a basis for
measuring performance The organizations compared during benchmarking can be internal or external117©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
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52210 Context Diagrams
The context diagram is an example of a scope model Context diagrams visually depict the product scope by
showing a business system (process equipment computer system etc) and how people and other systems
(actors) interact with it Context diagrams show inputs to the business system the actor(s) providing the input the
outputs from the business system and the actor(s) receiving the output
52211 Document Analysis
Document analysis is used to elicit requirements by analyzing existing documentation and identifying
information relevant to the requirements There are a wide range of documents that may be analyzed to help elicit
relevant requirements Examples of documents that may be analyzed include but are not limited to business plans
marketing literature agreements requests for proposal current process flows logical data models business rules
repositories application software documentation business process or interface documentation use cases other
requirements documentation problemissue logs policies procedures and regulatory documentation such as
laws codes or ordinances etc
523 Collect Requirements Outputs
5231 Requirements Documentation
Requirements documentation describes how individual requirements meet the business need for the project
Requirements may start out at a high level and become progressively more detailed as more about the requirements
is known Before being baselined requirements need to be unambiguous (measurable and testable) traceable
complete consistent and acceptable to key stakeholders The format of a requirements document may range from
a simple document listing all the requirements categorized by stakeholder and priority to more elaborate forms
containing an executive summary detailed descriptions and attachments
Components of requirements documentation can include but are not limited to
• Business requirements including
○○ Business and project objectives for traceability
○○ Business rules for the performing organization and
○○ Guiding principles of the organization118 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
• Stakeholder requirements including
○○ Impacts to other organizational areas
○○ Impacts to other entities inside or outside the performing organization and
○○ Stakeholder communication and reporting requirements
• Solution requirements including
○○ Functional and nonfunctional requirements
○○ Technology and standard compliance requirements
○○ Support and training requirements
○○ Quality requirements and
○○ Reporting requirements etc (solution requirements can be documented textually in models
or both)
• Project requirements such as
○○ Levels of service performance safety compliance etc and
○○ Acceptance criteria
• Transition requirements
• Requirements assumptions dependencies and constraints
5232 Requirements Traceability Matrix
The requirements traceability matrix is a grid that links product requirements from their origin to the
deliverables that satisfy them The implementation of a requirements traceability matrix helps ensure that each
requirement adds business value by linking it to the business and project objectives It provides a means
to track requirements throughout the project life cycle helping to ensure that requirements approved in the
requirements documentation are delivered at the end of the project Finally it provides a structure for managing
changes to the product scope
Tracing includes but is not limited to tracing requirements for the following119©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
• Business needs opportunities goals and objectives
• Project objectives
• Project scopeWBS deliverables
• Product design
• Product development
• Test strategy and test scenarios and
• Highlevel requirements to more detailed requirements
Attributes associated with each requirement can be recorded in the requirements traceability matrix These
attributes help to define key information about the requirement Typical attributes used in the requirements
traceability matrix may include a unique identifier a textual description of the requirement the rationale
for inclusion owner source priority version current status (such as active cancelled deferred added
approved assigned completed) and status date Additional attributes to ensure that the requirement has met
stakeholders’ satisfaction may include stability complexity and acceptance criteria Figure 56 provides an
example of a requirements traceability matrix with its associated attributes
Requirements Traceability Matrix
Requirements DescriptionID
Business Needs
Opportunities
Goals Objectives
Project
Objectives
Associate
ID
WBS
Deliverables
Product
Design
Product
Development
Test
Cases
Programs PortfoliosProject Name
Cost Center
Project Description
10
11
12
121
20
21
211
30
31
32
40
50
001
002
003
004
005
Figure 56 Example of a Requirements Traceability Matrix120 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
53 define Scope
Define Scope is the process of developing a detailed description of the project and product The key benefit of
this process is that it describes the project service or result boundaries by defining which of the requirements
collected will be included in and excluded from the project scope The inputs tools and techniques and outputs of
this process are depicted in Figure 57 Figure 58 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Scope management plan
2 Project charter
3 Requirements
documentation
4 Organizational process
assets
1 Expert judgment
2 Product analysis
3 Alternatives generation
4 Facilitated workshops
1 Project scope statement
2 Project documents
updates
Figure 57 define Scope Inputs tools & techniques and outputs
Project Scope Management
53
Define
Scope
51
Plan Scope
Management
52
Collect
Requirements
54
Create
WBS
• Organizational
process assets
• Project
charter
• Requirements
documentation
• Scope
management
plan
• Project
scope
statement
• Project documents
updates
41
Develop Project
Charter
63
Sequence
Activities
65
Estimate
Activity Durations
66
Develop
Schedule
Project
Documents
Enterprise
Organization
Figure 58 define Scope data Flow diagram121©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
Since all of the requirements identified in Collect Requirements may not be included in the project the Define
Scope process selects the final project requirements from the requirements documentation delivered during the
Collect Requirements process It then develops a detailed description of the project and product service or result
The preparation of a detailed project scope statement is critical to project success and builds upon the major
deliverables assumptions and constraints that are documented during project initiation During project planning
the project scope is defined and described with greater specificity as more information about the project is known
Existing risks assumptions and constraints are analyzed for completeness and added or updated as necessary
The Define Scope process can be highly iterative In iterative life cycle projects a highlevel vision will be developed
for the overall project but the detailed scope is determined one iteration at a time and the detailed planning for the
next iteration is carried out as work progresses on the current project scope and deliverables
531 Define Scope Inputs
5311 Scope Management Plan
Described in Section 5131The scope management plan is a component of the project management plan
that establishes the activities for developing monitoring and controlling the project scope
5312 Project Charter
Described in Section 4131 The project charter provides the highlevel project description and product
characteristics It also contains project approval requirements If a project charter is not used in the performing
organization then comparable information needs to be acquired or developed and used as a basis for the detailed
project scope statement Organizations that do not produce a formal project charter will usually perform an informal
analysis to identify the content necessary for further scope planning
5313 Requirements Documentation
Described in Section 5231 This documentation will be used to select the requirements that will be included
in the project122 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5314 Organizational Process Assets
Described in Section 214 Organizational process assets can influence how scope is defined Examples include
but are not limited to
• Policies procedures and templates for a project scope statement
• Project files from previous projects and
• Lessons learned from previous phases or projects
532 Define Scope Tools and Techniques
5321 Expert Judgment
Expert judgment is often used to analyze the information needed to develop the project scope statement Such
judgment and expertise is applied to any technical detail Such expertise is provided by any group or individual with
specialized knowledge or training and is available from many sources including but not limited to
• Other units within the organization
• Consultants
• Stakeholders including customers or sponsors
• Professional and technical associations
• Industry groups and
• Subject matter experts
5322 Product Analysis
For projects that have a product as a deliverable as opposed to a service or result product analysis can be an
effective tool Each application area has one or more generally accepted methods for translating highlevel product
descriptions into tangible deliverables Product analysis includes techniques such as product breakdown systems
analysis requirements analysis systems engineering value engineering and value analysis123©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
5323 Alternatives Generation
Alternatives generation is a technique used to develop as many potential options as possible in order to identify
different approaches to execute and perform the work of the project A variety of general management techniques
can be used such as brainstorming lateral thinking analysis of alternatives etc
5324 Facilitated Workshops
Described in Section 5223 The participation of key players with a variety of expectations andor fields of
expertise in these intensive working sessions helps to reach a crossfunctional and common understanding of the
project objectives and its limits
533 Define Scope Outputs
5331 Project Scope Statement
The project scope statement is the description of the project scope major deliverables assumptions and
constraints The project scope statement documents the entire scope including project and product scope It
describes in detail the project’s deliverables and the work required to create those deliverables It also provides a
common understanding of the project scope among project stakeholders It may contain explicit scope exclusions
that can assist in managing stakeholder expectations It enables the project team to perform more detailed planning
guides the project team’s work during execution and provides the baseline for evaluating whether requests for
changes or additional work are contained within or outside the project’s boundaries
The degree and level of detail to which the project scope statement defines the work that will be performed
and the work that is excluded can help determine how well the project management team can control the overall
project scope The detailed project scope statement either directly or by reference to other documents includes
the following
• Product scope description Progressively elaborates the characteristics of the product service or result
described in the project charter and requirements documentation
• Acceptance criteria A set of conditions that is required to be met before deliverables are accepted
• Deliverable Any unique and verifiable product result or capability to perform a service that is required
to be produced to complete a process phase or project Deliverables also include ancillary results such
as project management reports and documentation These deliverables may be described at a summary
level or in great detail124 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
• Project exclusion Generally identifies what is excluded from the project Explicitly stating what is out of
scope for the project helps to manage stakeholders’ expectations
• Constraints A limiting factor that affects the execution of a project or process Constraints identified with
the project scope statement list and describe the specific internal or external restrictions or limitations
associated with the project scope that affect the execution of the project for example a predefined
budget or any imposed dates or schedule milestones that are issued by the customer or performing
organization When a project is performed under an agreement contractual provisions will generally be
constraints Information on constraints may be listed in the project scope statement or in a separate log
• Assumptions A factor in the planning process that is considered to be true real or certain without
proof or demonstration Also describes the potential impact of those factors if they prove to be false
Project teams frequently identify document and validate assumptions as part of their planning process
Information on assumptions may be listed in the project scope statement or in a separate log
Although the project charter and the project scope statement are sometimes perceived as containing a certain
degree of redundancy they are different in the level of detail contained in each The project charter contains high
level information while the project scope statement contains a detailed description of the scope elements These
elements are progressively elaborated throughout the project Table 51 describes some of the key elements for
each document
Table 51 Elements of the Project Charter and Project Scope Statement
Project Charter
Project purpose or justification
Measurable project objectives
and related success criteria
Highlevel requirements
Highlevel project description
Highlevel risks
Summary milestone schedule
Summary budget
Stakeholder list
Project approval requirements
(what constitutes success who
decides it who signs off)
Assigned project manager
responsibility and authority
level
Name and authority of the
sponsor or other person(s)
authorizing the project charter
Project Scope Statement
Project scope description
(progressively elaborated)
Acceptance criteria
Project deliverables
Project exclusions
Project constraints
Project assumptions125©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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5332 Project Documents Updates
Project documents that may be updated include but are not limited to
• Stakeholder register
• Requirements documentation and
• Requirements traceability matrix
54 Create WBS
Create WBS is the process of subdividing project deliverables and project work into smaller more manageable
components The key benefit of this process is that it provides a structured vision of what has to be delivered The
inputs tools and techniques and outputs of this process are depicted in Figure 59 Figure 510 depicts the data
flow diagram of the process
Inputs Tools & Techniques Outputs
1 Scope management plan
2 Project scope statement
3 Requirements
documentation
4 Enterprise environmental
factors
5 Organizational process
assets
1 Decomposition
2 Expert judgment
1 Scope baseline
2 Project documents
updates
Figure 59 Create WBS Inputs Tools & Techniques and Outputs126 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
Project Scope Management
54
Create
WBS
53
Define
Scope
51
Plan Scope
Management
52
Collect
Requirements
55
Validate
Scope
• Enterprise
environmental
factors
• Organizational
process assets
• Project scope
statement
• Requirements
documentation
• Scope
management
plan
• Scope
baseline
• Project documents
updates 72
Estimate
Costs
73
Determine
Budget
42
Develop Project
Management
Plan
62
Define
Activities
112
Identify
Risks
113
Perform
Qualitative Risk
Analysis
Project
Documents
Enterprise
Organization
Figure 510 create WBS data Flow diagram
The WBS is a hierarchical decomposition of the total scope of work to be carried out by the project team to
accomplish the project objectives and create the required deliverables The WBS organizes and defines the total
scope of the project and represents the work specified in the current approved project scope statement
The planned work is contained within the lowest level of WBS components which are called work packages
A work package can be used to group the activities where work is scheduled and estimated monitored and
controlled In the context of the WBS work refers to work products or deliverables that are the result of activity and
not to the activity itself127©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
541 Create WBS Inputs
5411 Scope Management Plan
Described in Section 5131 The scope management plan specifies how to create the WBS from the detailed
project scope statement and how the WBS will be maintained and approved
5412 Project Scope Statement
Described in Section 5331 The project scope statement describes the work that will be performed and the
work that is excluded It also lists and describes the specific internal or external restrictions or limitations that may
affect the execution of the project
5413 Requirements Documentation
Described in Section 5231 Detailed requirements documentation is essential for understanding what needs
to be produced as the result of the project and what needs to be done to deliver the project and its final products
5414 Enterprise Environmental Factors
Described in Section 215 Industryspecific WBS standards relevant to the nature of the project may serve
as external reference sources for creation of the WBS For example engineering projects may reference ISOIEC
15288 on Systems Engineering – System Life Cycle Processes [6] to create a WBS for a new project
5415 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Create WBS process
include but are not limited to
• Policies procedures and templates for the WBS
• Project files from previous projects and
• Lessons learned from previous projects128 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
542 Create WBS Tools and Techniques
5421 Decomposition
Decomposition is a technique used for dividing and subdividing the project scope and project deliverables into
smaller more manageable parts The work package is the work defined at the lowest level of the WBS for which
cost and duration can be estimated and managed The level of decomposition is often guided by the degree of
control needed to effectively manage the project The level of detail for work packages will vary with the size
and complexity of the project Decomposition of the total project work into work packages generally involves the
following activities
• Identifying and analyzing the deliverables and related work
• Structuring and organizing the WBS
• Decomposing the upper WBS levels into lowerlevel detailed components
• Developing and assigning identification codes to the WBS components and
• Verifying that the degree of decomposition of the deliverables is appropriate
A portion of a WBS with some branches of the WBS decomposed down through the work package level is shown
in Figure 511
5422 Expert Judgment
Expert judgment is often used to analyze the information needed to decompose the project deliverables down
into smaller component parts in order to create an effective WBS Such judgment and expertise is applied to
technical details of the project’s scope and used to reconcile differences in opinion on how to best break down
the overall scope of the project This level of expertise is provided by any group or individual with relevant training
knowledge or experience with similar projects or business areas Expert judgment can also come in the form
of predefined templates that provide guidance on how to effectively break down common deliverables Such
templates may be industry or discipline specific or may come from experience gained in similar projects The
project manager in collaboration with the project team then determines the final decomposition of the project
scope into the discrete work packages that will be used to effectively manage the work of the project129©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
10
Value Management
System Project
11
Needs
Assessment
12
Standards
Development
13
Systems
Engineering
14
Project
Management
The WBS is illustrative only It is not intended to represent the full project scope of any specific project
nor to imply that this is the only way to organize a WBS on this type of project
1111
Components
Identification
1121
Gap
Assessment
1131
Alternatives
Identification
114
System Requirements
Development
113
Alternatives
Development
112
Requirements
Determination
111
Current System
Audit
1112
Components
Analysis
1122
Requirements
Changes Identification
1132
Alternatives
Analysis
Figure 511 Sample WBS Decomposed Down Through Work Packages
A WBS structure may be created through various approaches Some of the popular methods include the top
down approach the use of organizationspecific guidelines and the use of WBS templates A bottomup approach
can be used during the integration of subcomponents The WBS structure can be represented in a number of forms
such as
• Using phases of the project life cycle as the second level of decomposition with the product and project
deliverables inserted at the third level as shown in Figure 512
• Using major deliverables as the second level of decomposition as shown in Figure 513 and
• Incorporating subcomponents which may be developed by organizations outside the project team such
as contracted work The seller then develops the supporting contract WBS as part of the contracted work130 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
Planning
Software Product
Release 50
Detail
Design Construct Integration
and Test
Project
Management
Product
Requirements
Software Software Software Software
Meetings User
Documentation
User
Documentation
User
Documentation
User
Documentation
Administration Training Program
Materials
Training Program
Materials
Training Program
Materials
Training Program
Materials
The WBS is illustrative only It is not intended to represent the full project scope of any specific project
nor to imply that this is the only way to organize a WBS on this type of project
Figure 512 Sample WBS Organized by Phase
System
Engineering
Management
Supporting
PM Activities
Aircraft
System
Project
Management
Equipment
Training
Facilities
Training
Services
Training
Training
Technical
Orders
Engineering
Data
Management
Data
Data Air
Vehicle
Organizational
Level SE
Intermediate
Level SE
Depot
Level SE
Support
Equipment
Airframe Engine Communication
System
Navigation
System
Fire Control
System
Base
Buildings
Maintenance
Facility
Facilities
Mockups
Operational
Test
Developmental
Test
Test
Test and
Evaluation
The WBS is illustrative only It is not intended to represent the full project scope of any specific project
nor to imply that this is the only way to organize a WBS on this type of project
Figure 513 Sample WBS with Major Deliverables131©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
Decomposition of the upperlevel WBS components requires subdividing the work for each of the deliverables
or subcomponents into its most fundamental elements where the WBS components represent verifiable products
services or results The WBS may be structured as an outline an organizational chart or other method that identifies
a hierarchical breakdown Verifying the correctness of the decomposition requires determining that the lowerlevel
WBS components are those that are necessary and sufficient for completion of the corresponding higherlevel
deliverables Different deliverables can have different levels of decomposition To arrive at a work package the
work for some deliverables needs to be decomposed only to the next level while others need additional levels of
decomposition As the work is decomposed to greater levels of detail the ability to plan manage and control the
work is enhanced However excessive decomposition can lead to nonproductive management effort inefficient
use of resources decreased efficiency in performing the work and difficulty aggregating data over different levels
of the WBS
Decomposition may not be possible for a deliverable or subcomponent that will be accomplished far into the
future The project management team usually waits until the deliverable or subcomponent is agreed on so the
details of the WBS can be developed This technique is sometimes referred to as rolling wave planning
The WBS represents all product and project work including the project management work The total of the work
at the lowest levels should roll up to the higher levels so that nothing is left out and no extra work is performed
This is sometimes called the 100 percent rule
For specific information regarding the WBS refer to the Practice Standard for Work Breakdown Structures –
Second Edition [7] This standard contains industryspecific examples of WBS templates that can be tailored to
specific projects in a particular application area
543 Create WBS Outputs
5431 Scope Baseline
The scope baseline is the approved version of a scope statement work breakdown structure (WBS) and its
associated WBS dictionary that can be changed only through formal change control procedures and is used as a
basis for comparison It is a component of the project management plan Components of the scope baseline include
• Project scope statement The project scope statement includes the description of the project scope
major deliverables assumptions and constraints132 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
• WBS The WBS is a hierarchical decomposition of the total scope of work to be carried out by the project
team to accomplish the project objectives and create the required deliverables Each descending level
of the WBS represents an increasingly detailed definition of the project work The WBS is finalized by
assigning each work package to a control account and establishing a unique identifier for that work
package from a code of accounts These identifiers provide a structure for hierarchical summation
of costs schedule and resource information A control account is a management control point
where scope budget actual cost and schedule are integrated and compared to the earned value for
performance measurement Control accounts are placed at selected management points in the WBS
Each control account may include one or more work packages but each of the work packages should
be associated with only one control account A control account may include one or more planning
packages A planning package is a work breakdown structure component below the control account
with known work content but without detailed schedule activities
• WBS dictionary The WBS dictionary is a document that provides detailed deliverable activity and
scheduling information about each component in the WBS The WBS dictionary is a document that
supports the WBS Information in the WBS dictionary may include but is not limited to
○○ Code of account identifier
○○ Description of work
○○ Assumptions and constraints
○○ Responsible organization
○○ Schedule milestones
○○ Associated schedule activities
○○ Resources required
○○ Cost estimates
○○ Quality requirements
○○ Acceptance criteria
○○ Technical references and
○○ Agreement information
5432 Project Documents Updates
Project documents that may be updated include but are not limited to requirements documentation which may
need to be updated to include approved changes If approved change requests result from the Create WBS process
then the requirements documentation may need to be updated to include approved changes133©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
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55 Validate Scope
Validate Scope is the process of formalizing acceptance of the completed project deliverables The key benefit
of this process is that it brings objectivity to the acceptance process and increases the chance of final product
service or result acceptance by validating each deliverable The inputs tools and techniques and outputs of this
process are depicted in Figure 514 Figure 515 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Requirements
documentation
3 Requirements traceability
matrix
4 Verified deliverables
5 Work performance data
1 Inspection
2 Group decisionmaking
techniques
1 Accepted deliverables
2 Change requests
3 Work performance
information
4 Project documents
updates
Figure 514 Validate Scope Inputs tools & techniques and outputs
Project Scope Management
55
Validate
Scope
52
Collect
Requirements
• Project
charter
• Requirements
documentation
• Requirements
traceability matrix
• Change requests
• Accepted
deliverables
• Project documents
updates
• Work performance
information
• Work performance
data
• Validated
deliverables
• Project management
plan
83
Control
Quality
43
Direct and
Manage
Project Work
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
46
Close Project
or Phase
Project
Documents
42
Develop Project
Management
Plan
Figure 515 Validate Scope data Flow diagram134 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
The verified deliverables obtained from the Control Quality process are reviewed with the customer or sponsor
to ensure that they are completed satisfactorily and have received formal acceptance of the deliverables by the
customer or sponsor In this process the outputs obtained as a result of the Planning processes in the Project Scope
Management Knowledge Area such as the requirements documentation or the scope baseline as well as the work
performance data obtained from the Execution processes in other Knowledge Areas are the basis for performing
the validation and for final acceptance
The Validate Scope process differs from the Control Quality process in that the former is primarily concerned
with acceptance of the deliverables while quality control is primarily concerned with correctness of the deliverables
and meeting the quality requirements specified for the deliverables Control Quality is generally performed before
Validate Scope although the two processes may be performed in parallel
551 Validate Scope Inputs
5511 Project Management Plan
Described in Section 4231 The project management plan contains the scope management plan and the
scope baseline As described in Section 5131 the scope management plan specifies how formal acceptance of
the completed project deliverables will be obtained The scope baseline (Section 5431) includes the approved
version of a scope statement work breakdown structure (WBS) and its associated WBS dictionary that can be
changed only through formal change control procedures and is used as a basis for comparison
5512 Requirements Documentation
Described in Section 5231 The requirements documentation lists all the project product and other types of
requirements for the project and product along with their acceptance criteria
5513 Requirements Traceability Matrix
Described in Section 5232 The requirements traceability matrix links requirements to their origin and tracks
them throughout the project life cycle135©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
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5514 Verified Deliverables
Described in Section 8333 Verified deliverables are project deliverables that are completed and checked for
correctness through the Control Quality process
5515 Work Performance Data
Described in Section 4332 Work performance data can include the degree of compliance with requirements
number of nonconformities severity of the nonconformities or the number of validation cycles performed in a
period of time
552 Validate Scope Tools and Techniques
5521 Inspection
Inspection includes activities such as measuring examining and validating to determine whether work and
deliverables meet requirements and product acceptance criteria Inspections are sometimes called reviews
product reviews audits and walkthroughs In some application areas these different terms have unique and
specific meanings
5522 Group DecisionMaking Techniques
Described in Section 5225 These techniques are used to reach a conclusion when the validation is performed
by the project team and other stakeholders
553 Validate Scope Outputs
5531 Accepted Deliverables
Deliverables that meet the acceptance criteria are formally signed off and approved by the customer or sponsor
Formal documentation received from the customer or sponsor acknowledging formal stakeholder acceptance of
the project’s deliverables is forwarded to the Close Project or Phase process (Section 46)136 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5532 Change Requests
The completed deliverables that have not been formally accepted are documented along with the reasons
for nonacceptance of those deliverables Those deliverables may require a change request for defect repair The
change requests are processed for review and disposition through the Perform Integrated Change Control process
(Section 45)
5533 Work Performance Information
Work performance information includes information about project progress such as which deliverables
have started their progress which deliverables have finished or which have been accepted This information is
documented as described in Section 10331 and communicated to stakeholders
5534 Project Documents Updates
Project documents that may be updated as a result of the Validate Scope process include any documents that
define the product or report status on product completion Verified project documents may require approvals from
the customer or sponsor in the form of signatures or signoffs
56 Control Scope
Control Scope is the process of monitoring the status of the project and product scope and managing changes to
the scope baseline The key benefit of this process is that it allows the scope baseline to be maintained throughout
the project The inputs tools and techniques and outputs of this process are depicted in Figure 516 Figure 517
depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Requirements
documentation
3 Requirements traceability
matrix
4 Work performance data
5 Organizational process
assets
1 Variance analysis 1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure 516 Control Scope Inputs Tools & Techniques and Outputs137©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
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Project Scope Management
56
Control
Scope
52
Collect
Requirements
• Project
charter
• Requirements
documentation
• Requirements
traceability matrix
• Work performance
information
• Organizational process
assets updates
• Change
requests
• Project documents
updates
• Project management
plan updates
• Project
management plan
• Work performance
data
• Organizational
process assets
43
Direct and
Manage Project
Work
42
Develop Project
Management
Plan
42
Develop Project
Management
Plan
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
Project
DocumentsEnterprise
Organization
Enterprise
Organization
Figure 517 control Scope data Flow diagram
Controlling the project scope ensures all requested changes and recommended corrective or preventive actions
are processed through the Perform Integrated Change Control process (see Section 45) Control Scope is also used
to manage the actual changes when they occur and is integrated with the other control processes The uncontrolled
expansion to product or project scope without adjustments to time cost and resources is referred to as scope
creep Change is inevitable therefore some type of change control process is mandatory for every project138 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
561 Control Scope Inputs
5611 Project Management Plan
Described in Section 4231 The following information from the project management plan is used to control
scope
• Scope baseline The scope baseline is compared to actual results to determine if a change corrective
action or preventive action is necessary
• Scope management plan Sections from the scope management plan describe how the project scope
will be monitored and controlled
• Change management plan The change management plan defines the process for managing change
on the project
• Configuration management plan The configuration management plan defines those items that are
configurable those items that require formal change control and the process for controlling changes to
such items
• Requirements management plan This plan is a component of the project management plan and
describes how the project requirements will be analyzed documented and managed
5612 Requirements Documentation
Described in Section 5231 Requirements should be unambiguous (measurable and testable) traceable
complete consistent and acceptable to key stakeholders Welldocumented requirements make it easier to detect
any deviation in the scope agreed for the project or product
5613 Requirements Traceability Matrix
Described in Section 5232 The requirements traceability matrix helps to detect the impact of any change or
deviation from the scope baseline on the project objectives139©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
5614 Work Performance Data
Described in Section 4332 Work performance data can include the number of change requests received the
number of requests accepted or the number of deliverables completed etc
5615 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Control Scope process
include but are not limited to
• Existing formal and informal scope controlrelated policies procedures guidelines and
• Monitoring and reporting methods and templates to be used
562 Control Scope Tools and Techniques
5621 Variance Analysis
Variance analysis is a technique for determining the cause and degree of difference between the baseline and
actual performance Project performance measurements are used to assess the magnitude of variation from the
original scope baseline Important aspects of project scope control include determining the cause and degree of
variance relative to the scope baseline (Section 5431) and deciding whether corrective or preventive action is
required
563 Control Scope Outputs
5631 Work Performance Information
Work performance information produced includes correlated and contextualized information on how the project
scope is performing compared to the scope baseline It can include the categories of the changes received the
identified scope variances and their causes how they impact schedule or cost and the forecast of the future scope
performance This information provides a foundation for making scope decisions140 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5632 Change Requests
Analysis of scope performance can result in a change request to the scope baseline or other components
of the project management plan Change requests can include preventive or corrective actions defect repairs
or enhancement requests Change requests are processed for review and disposition according to the Perform
Integrated Change Control process (Section 45)
5633 Project Management Plan Updates
Project management plan updates may include but are not limited to
• Scope Baseline Updates If the approved change requests have an effect on the project scope then
the scope statement the WBS and the WBS dictionary are revised and reissued to reflect the approved
changes through Perform Integrated Change Control process
• Other Baseline Updates If the approved change requests have an effect on the project besides the
project scope then the corresponding cost baseline and schedule baselines are revised and reissued to
reflect the approved changes
5634 Project Documents Updates
Project documents that may be updated include but are not limited to
• Requirements documentation and
• Requirements traceability matrix
5635 Organizational Process Assets Updates
Organizational process assets that may be updated include but are not limited to
• Causes of variances
• Corrective action chosen and the reasons and
• Other types of lessons learned from project scope control141©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
6
PROJECT TIME MANAGEMENT
Project Time Management includes the processes required to manage the timely completion of the project
Figure 61 provides an overview of the Project Time Management processes which are as follows
61 Plan Schedule Management—The process of establishing the policies procedures and documentation
for planning developing managing executing and controlling the project schedule
62 Define Activities—The process of identifying and documenting the specific actions to be performed
to produce the project deliverables
63 Sequence Activities—The process of identifying and documenting relationships among the project
activities
64 Estimate Activity Resources—The process of estimating the type and quantities of material human
resources equipment or supplies required to perform each activity
65 Estimate Activity Durations—The process of estimating the number of work periods needed to
complete individual activities with estimated resources
66 Develop Schedule—The process of analyzing activity sequences durations resource requirements
and schedule constraints to create the project schedule model
67 Control Schedule—The process of monitoring the status of project activities to update project
progress and manage changes to the schedule baseline to achieve the plan
66142 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
These processes interact with each other and with processes in other Knowledge Areas as described in detail
in Section 3 and Annex A1
Distinguishing the project schedule presentation (schedule) from the schedule data (Section 6633) and
calculations that produce the project schedule (Section 6632) is practiced by referring to the scheduling tool
populated with project data as the schedule model A schedule model is a representation of the plan for executing
the project’s activities including durations dependencies and other planning information used to produce project
schedules along with other scheduling artifacts For specific information regarding the schedule model refer to the
Practice Standard for Scheduling [8]
On some projects especially those of smaller scope defining activities sequencing activities estimating
activity resources estimating activity durations and developing the schedule model are so tightly linked that they
are viewed as a single process that can be performed by a person over a relatively short period of time These
processes are presented here as distinct elements because the tools and techniques for each process are different
The Project Time Management processes and their associated tools and techniques are documented in the
schedule management plan The schedule management plan is a subsidiary plan of and integrated with the project
management plan through the Develop Project Management Plan process (Section 42) The schedule management
plan identifies a scheduling method and scheduling tool (Figure 62) and sets the format and establishes criteria
for developing and controlling the project schedule The selected scheduling method defines the framework and
algorithms used in the scheduling tool to create the schedule model Some of the better known scheduling methods
include critical path method (CPM) and critical chain method (CCM)
Project schedule development uses the outputs from the processes to define activities sequence activities
estimate activity resources and estimate activity durations in combination with the scheduling tool to produce
the schedule model The finalized and approved schedule is the baseline that will be used in the Control Schedule
process (Section 67) As the project activities are being performed the majority of effort in the Project Time
Management Knowledge Area will occur in the Control Schedule process to ensure completion of project work in a
timely manner Figure 62 provides a scheduling overview that shows how the scheduling method scheduling tool
and outputs from the Project Time Management processes interact to create a project schedule143©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
6
1 Inputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process
assets
2 Tools & Techniques
1 Expert judgment
2 Analytical techniques
3 Meetings
3 Outputs
1 Schedule management
plan
Project Time
Management Overview
61 Plan Schedule
Management
1 Inputs
1 Schedule management
plan
2 Scope baseline
3 Enterprise environmental
factors
4 Organizational process
assets
2 Tools & Techniques
1 Decomposition
2 Rolling wave planning
3 Expert judgment
3 Outputs
1 Activity list
2 Activity attributes
3 Milestone list
62 Define Activities
1 Inputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Milestone list
5 Project scope statement
6 Enterprise environmental
factors
7 Organizational process
assets
2 Tools & Techniques
1 Precedence diagramming
method (PDM)
2 Dependency determination
3 Leads and lags
3 Outputs
1 Project schedule network
diagrams
2 Project documents updates
63 Sequence
Activities
1 Inputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Activity resource
requirements
5 Resource calendars
6 Project scope statement
7 Risk register
8 Resource breakdown
structure
9 Enterprise environmental
factors
10 Organizational process
assets
2 Tools & Techniques
1 Expert judgment
2 Analogous estimating
3 Parametric estimating
4 Threepoint estimating
5 Group decisionmaking
techniques
6 Reserve analysis
3 Outputs
1 Activity duration estimates
2 Project documents updates
65 Estimate Activity
Durations
1 Inputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Project schedule network
diagrams
5 Activity resource
requirements
6 Resource calendars
7 Activity duration estimates
8 Project scope statement
9 Risk register
10 Project staff assignments
11 Resource breakdown
structure
12 Enterprise environmental
factors
13 Organizational process
assets
2 Tools & Techniques
1 Schedule network analysis
2 Critical path method
3 Critical chain method
4 Resource optimization
techniques
5 Modeling techniques
6 Leads and lags
7 Schedule compression
8 Scheduling tool
3 Outputs
1 Schedule baseline
2 Project schedule
3 Schedule data
4 Project calendars
5 Project management plan
updates
6 Project documents updates
66 Develop Schedule
1 Inputs
1 Project management plan
2 Project schedule
3 Work performance data
4 Project calendars
5 Schedule data
6 Organizational process
assets
2 Tools & Techniques
1 Performance reviews
2 Project management
software
3 Resource optimization
techniques
4 Modeling techniques
5 Leads and lags
6 Schedule compression
7 Scheduling tool
3 Outputs
1 Work performance
information
2 Schedule forecasts
3 Change requests
4 Project management plan
updates
5 Project documents updates
6 Organizational process
assets updates
67 Control Schedule
1 Inputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Resource calendars
5 Risk register
6 Activity cost estimates
7 Enterprise environmental
factors
8 Organizational process
assets
2 Tools & Techniques
1 Expert judgment
2 Alternative analysis
3 Published estimating data
4 Bottomup estimating
5 Project management
software
3 Outputs
1 Activity resource
requirements
2 Resource breakdown
structure
3 Project documents
updates
64 Estimate Activity
Resources
Figure 61 Project Time Management Overview144 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
Examples of Project Schedule Presentations
Network Diagram
Bar ChartActivity List
Project
Schedule
Schedule
Model
Project
Information
Scheduling
Method
Scheduling
Tool
Output
Generates
Project Specific Data
(eg WBS activities
resources durations
dependencies constraints
calendars milestones
lags etc)
For example
CPM
Figure 62 Scheduling Overview145©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
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61 Plan Schedule Management
Plan Schedule Management is the process of establishing the policies procedures and documentation for
planning developing managing executing and controlling the project schedule The key benefit of this process is
that it provides guidance and direction on how the project schedule will be managed throughout the project The
inputs tools and techniques and outputs of this process are depicted in Figure 63 Figure 64 depicts the data
flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process
assets
1 Expert judgment
2 Analytical techniques
3 Meetings
1 Schedule management
plan
Figure 63 Plan Schedule Management Inputs tools & techniques and outputs
• Change log
Project Time Management
61
Plan Schedule
Management
62
Define
Activities
64
Estimate Activity
Resources
63
Sequence
Activities
65
Estimate Activity
Durations
66
Develop
Schedule
• Project charter
• Project
management
plan
• Enterprise
environmental
factors
• Organizational
process assets
• Schedule
management
plan
42
Develop Project
Management
Plan
112
Identify
Risks
114
Perform
Quantitative
Risk Analysis
41
Develop Project
Charter
Enterprise
Organization
Figure 64 Plan Schedule Management data Flow diagram146 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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The schedule management plan is a component of the project management plan The schedule management
plan may be formal or informal highly detailed or broadly framed based upon the needs of the project and
includes appropriate control thresholds The schedule management plan defines how schedule contingencies will
be reported and assessed The schedule management plan may be updated to reflect a change in the way the
schedule is managed The schedule management plan is a major input into the Develop Project Management Plan
process as referenced in Section 6131
611 Plan Schedule Management Inputs
6111 Project Management Plan
Described in Section 4231 The project management plan contains information used to develop the schedule
management plan which includes but is not limited to
• Scope baseline The scope baseline includes the project scope statement and the work breakdown
structure (WBS) details used for defining activities duration estimation and schedule management and
• Other information Other scheduling related cost risk and communications decisions from the project
management plan are used to develop the schedule
6112 Project Charter
Described in Section 4131 The project charter defines the summary milestone schedule and project approval
requirements that will influence the management of the project schedule
6113 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that influence the Plan Schedule Management
process include but are not limited to
• Organizational culture and structure can all influence schedule management
• Resource availability and skills that may influence schedule planning
• Project management software provides the scheduling tool and alternative possibilities for managing the
schedule
• Published commercial information such as resource productivity information is often available from
commercial databases that track and
• Organizational work authorization systems147©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6114 Organizational Process Assets
Described in Section 214 The organizational process assets that influence the Plan Schedule Management
process include but are not limited to
• Monitoring and reporting tools to be used
• Historical information
• Schedule control tools
• Existing formal and informal schedule control related policies procedures and guidelines
• Templates
• Project closure guidelines
• Change control procedures and
• Risk control procedures including risk categories probability definition and impact and probability and
impact matrix
612 Plan Schedule Management Tools and Techniques
6121 Expert Judgment
Expert judgment guided by historical information provides valuable insight about the environment and
information from prior similar projects Expert judgment can also suggest whether to combine methods and how to
reconcile differences between them
Judgment based upon expertise in an application area Knowledge Area discipline industry etc as appropriate
for the activity being performed should be used in developing the schedule management plan
6122 Analytical Techniques
The Plan Schedule Management process may involve choosing strategic options to estimate and schedule the
project such as scheduling methodology scheduling tools and techniques estimating approaches formats and
project management software The schedule management plan may also detail ways to fast track or crash (Section
6627) the project schedule such as undertaking work in parallel These decisions like other schedule decisions
affecting the project may affect project risks148 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
Organizational policies and procedures may influence which scheduling techniques are employed in these
decisions Techniques may include but are not limited to rolling wave planning (Section 6222) leads and lags
(Section 6323) alternatives analysis (Section 6422) and methods for reviewing schedule performance (Section
6721)
6123 Meetings
Project teams may hold planning meetings to develop the schedule management plan Participants at these
meetings may include the project manager the project sponsor selected project team members selected
stakeholders anyone with responsibility for schedule planning or execution and others as needed
613 Plan Schedule Management Outputs
6131 Schedule Management Plan
A component of the project management plan that establishes the criteria and the activities for developing
monitoring and controlling the schedule The schedule management plan may be formal or informal highly detailed
or broadly framed based upon the needs of the project and includes appropriate control thresholds
For example the schedule management plan can establish the following
• Project schedule model development The scheduling methodology and the scheduling tool to be used
in the development of the project schedule model are specified
• Level of accuracy The acceptable range used in determining realistic activity duration estimates is
specified and may include an amount for contingencies
• Units of measure Each unit used in measurements (such as staff hours staff days or weeks for time
measures or meters liters tons kilometers or cubic yards for quantity measures) is defined for each of
the resources
• Organizational procedures links The WBS (Section 54) provides the framework for the schedule
management plan allowing for consistency with the estimates and resulting schedules
• Project schedule model maintenance The process used to update the status and record progress of
the project in the schedule model during the execution of the project is defined
• Control thresholds Variance thresholds for monitoring schedule performance may be specified to indicate
an agreedupon amount of variation to be allowed before some action needs to be taken Thresholds are
typically expressed as percentage deviations from the parameters established in the baseline plan149©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Rules of performance measurement Earned value management (EVM) rules or other physical
measurement rules of performance measurement are set For example the schedule management plan
may specify
○○ Rules for establishing percent complete
○○ Control accounts at which management of progress and schedule will be measured
○○ Earned value measurement techniques (eg baselines fixedformula percent complete etc)
to be employed (for more specific information refer to the Practice Standard for Earned Value
Management) [9]
○○ Schedule performance measurements such as schedule variance (SV) and schedule performance
index (SPI) used to assess the magnitude of variation to the original schedule baseline
• Reporting formats The formats and frequency for the various schedule reports are defined
• Process descriptions Descriptions of each of the schedule management processes are documented
62 Define Activities
Define Activities is the process of identifying and documenting the specific actions to be performed to produce
the project deliverables The key benefit of this process is to break down work packages into activities that provide
a basis for estimating scheduling executing monitoring and controlling the project work The inputs tools and
techniques and outputs of this process are depicted in Figure 65 Figure 66 depicts the data flow diagram of the
process
Inputs Tools & Techniques Outputs
1 Schedule management
plan
2 Scope baseline
3 Enterprise environmental
factors
4 Organizational process
assets
1 Decomposition
2 Rolling wave planning
3 Expert judgment
1 Activity list
2 Activity attributes
3 Milestone list
Figure 65 Define Activities Inputs Tools & Techniques and Outputs150 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
• Change log
Project Time Management
62
Define
Activities
61
Plan Schedule
Management
63
Sequence
Activities
65
Estimate Activity
Durations
64
Estimate Activity
Resources
66
Develop
Schedule
• Scope baseline
• Milestone
list
• Organizational
process assets
• Enterprise
environmental
factors
• Schedule
management plan
• Activity list
• Activity attributes
54
Create
WBS
Enterprise
Organization
Figure 66 define Activities data Flow diagram
Implicit in this process are defining and planning the schedule activities such that the project objectives will
be met The Create WBS process identifies the deliverables at the lowest level in the WBS—the work package
Work packages are typically decomposed into smaller components called activities that represent the work effort
required to complete the work package
621 define Activities Inputs
6211 Schedule Management Plan
Described in Section 6131 A key input from the schedule management plan is the prescribed level of detail
necessary to manage the work151©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6212 Scope Baseline
Described in Section 5431 The project WBS deliverables constraints and assumptions documented in the
scope baseline are considered explicitly while defining activities
6213 Enterprise Environmental Factors
Described in Section 215 Enterprise environmental factors that influence the Define Activities process include
but are not limited to
• Organizational cultures and structure
• Published commercial information from commercial databases and
• Project management information system (PMIS)
6214 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Define Activities process
include but are not limited to
• Lessons learned knowledge base containing historical information regarding activity lists used by previous
similar projects
• Standardized processes
• Templates that contain a standard activity list or a portion of an activity list from a previous project and
• Existing formal and informal activity planningrelated policies procedures and guidelines such as the
scheduling methodology that are considered in developing the activity definitions
622 Define Activities Tools and Techniques
6221 Decomposition
Decomposition is a technique used for dividing and subdividing the project scope and project deliverables into
smaller more manageable parts Activities represent the effort needed to complete a work package The Define
Activities process defines the final outputs as activities rather than deliverables as done in the Create WBS process
(Section 54)152 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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The activity list WBS and WBS dictionary can be developed either sequentially or concurrently with the WBS
and WBS dictionary as the basis for development of the final activity list Each work package within the WBS is
decomposed into the activities required to produce the work package deliverables Involving team members in the
decomposition can lead to better and more accurate results
6222 Rolling Wave Planning
Rolling wave planning is an iterative planning technique in which the work to be accomplished in the near term
is planned in detail while the work in the future is planned at a higher level It is a form of progressive elaboration
Therefore work can exist at various levels of detail depending on where it is in the project life cycle During early
strategic planning when information is less defined work packages may be decomposed to the known level of
detail As more is known about the upcoming events in the near term work packages can be decomposed into
activities
6223 Expert Judgment
Project team members or other experts who are experienced and skilled in developing detailed project scope
statements the WBS and project schedules can provide expertise in defining activities
623 Define Activities Outputs
6231 Activity List
The activity list is a comprehensive list that includes all schedule activities required on the project The activity
list also includes the activity identifier and a scope of work description for each activity in sufficient detail to ensure
that project team members understand what work is required to be completed Each activity should have a unique
title that describes its place in the schedule even if that activity title is displayed outside the context of the project
schedule153©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6232 Activity Attributes
Activities distinct from milestones have durations during which the work of that activity is performed
and may have resources and costs associated with that work Activity attributes extend the description of
the activity by identifying the multiple components associated with each activity The components for each
activity evolve over time During the initial stages of the project they include the activity identifier (ID) WBS ID
and activity label or name and when completed may include activity codes activity description predecessor
activities successor activities logical relationships leads and lags (Section 6323) resource requirements
imposed dates constraints and assumptions Activity attributes can be used to identify the person responsible
for executing the work geographic area or place where the work has to be performed the project calendar
the activity is assigned to and activity type such as level of effort (often abbreviated as LOE) discrete effort
and apportioned effort Activity attributes are used for schedule development and for selecting ordering and
sorting the planned schedule activities in various ways within reports The number of attributes varies by
application area
6233 Milestone List
A milestone is a significant point or event in a project A milestone list is a list identifying all project milestones
and indicates whether the milestone is mandatory such as those required by contract or optional such as those
based upon historical information Milestones are similar to regular schedule activities with the same structure and
attributes but they have zero duration because milestones represent a moment in time
63 Sequence Activities
Sequence Activities is the process of identifying and documenting relationships among the project activities The
key benefit of this process is that it defines the logical sequence of work to obtain the greatest efficiency given all
project constraints The inputs tools and techniques and outputs of this process are depicted in Figure 67 Figure
68 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Milestone list
5 Project scope statement
6 Enterprise environmental
factors
7 Organizational process
assets
1 Precedence diagramming
method (PDM)
2 Dependency
determination
3 Leads and lags
1 Project schedule network
diagrams
2 Project documents
updates
Figure 67 Sequence Activities Inputs Tools & Techniques and Outputs154 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
Project Time Management
63
Sequence
Activities
62
Define
Activities
61
Plan Schedule
Management
66
Develop
Schedule
• Activity list
• Activity attributes
• Milestone list
• Schedule
management
plan
• Project schedule
network diagrams
• Project documents
updates
Project
Documents
• Project scope
statement
• Organizational
process assets
• Enterprise
environmental
factors
53
Define
Scope
Enterprise
Organization
Figure 68 Sequence Activities Data Flow Diagram
Every activity and milestone except the first and last should be connected to at least one predecessor with a
finishtostart or starttostart logical relationship and at least one successor with a finishtostart or finishto
finish logical relationship Logical relationships should be designed to create a realistic project schedule It may
be necessary to use lead or lag time between activities to support a realistic and achievable project schedule
Sequencing can be performed by using project management software or by using manual or automated techniques
631 Sequence Activities Inputs
6311 Schedule Management Plan
Described in Section 6131 The schedule management plan identifies the scheduling method and tool to be
used for the project which will guide how the activities may be sequenced155©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
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6312 Activity List
Described in Section 6231 The activity list contains all schedule activities required on the project which
are to be sequenced Dependencies and other constraints for these activities can influence the sequencing of the
activities
6313 Activity Attributes
Described in Section 6232 Activity attributes may describe a necessary sequence of events or defined
predecessor or successor relationships
6314 Milestone List
Described in Section 6233 The milestone list may have scheduled dates for specific milestones which may
influence the way activities are sequenced
6315 Project Scope Statement
Described in Section 5331 The project scope statement contains the product scope description which includes
product characteristics that may affect activity sequencing such as the physical layout of a plant to be constructed
or subsystem interfaces on a software project Other information from the project scope statement including project
deliverables project constraints and project assumptions may also affect activity sequencing While these effects
are often apparent in the activity list the product scope description is generally reviewed to ensure accuracy
6316 Enterprise Environmental Factors
Described in Section 215 Enterprise environmental factors that influence the Sequence Activities process
include but are not limited to
• Government or industry standards
• Project management information system (PMIS)
• Scheduling tool and
• Company work authorization systems156 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6317 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Sequence Activities process
include but are not limited to project files from the corporate knowledge base used for scheduling methodology
existing formal and informal activity planningrelated policies procedures and guidelines such as the scheduling
methodology that are considered in developing logical relationships and templates that can be used to expedite the
preparation of networks of project activities Related activity attributes information in templates can also contain
additional descriptive information useful in sequencing activities
632 Sequence Activities Tools and Techniques
6321 Precedence Diagramming Method
The precedence diagramming method (PDM) is a technique used for constructing a schedule model in which
activities are represented by nodes and are graphically linked by one or more logical relationships to show the
sequence in which the activities are to be performed Activityonnode (AON) is one method of representing a
precedence diagram This is the method used by most project management software packages
PDM includes four types of dependencies or logical relationships A predecessor activity is an activity that
logically comes before a dependent activity in a schedule A successor activity is a dependent activity that logically
comes after another activity in a schedule These relationships are defined below and are illustrated in Figure 69
• Finishtostart (FS) A logical relationship in which a successor activity cannot start until a predecessor
activity has finished Example The awards ceremony (successor) cannot start until the race (predecessor)
has finished
• Finishtofinish (FF) A logical relationship in which a successor activity cannot finish until a predecessor
activity has finished Example Writing a document (predecessor) is required to finish before editing the
document (successor) can finish
• Starttostart (SS) A logical relationship in which a successor activity cannot start until a predecessor
activity has started Example Level concrete (successor) cannot begin until pour foundation (predecessor)
begins
• Starttofinish (SF) A logical relationship in which a successor activity cannot finish until a predecessor
activity has started Example The first security guard shift (successor) cannot finish until the second
security guard shift (predecessor) starts157©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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In PDM finishtostart is the most commonly used type of precedence relationship The starttofinish relationship
is very rarely used but is included to present a complete list of the PDM relationship types
Activity A Activity B
Activity A Activity A
Activity B Activity B
Activity A Activity B
Finish to Start (FS)
Start to Finish (SF)
Start to Start (SS) Finish to Finish (FF)
Figure 69 Precedence Diagramming Method (PDM) Relationship Types
6322 Dependency Determination
Dependencies may be characterized by the following attributes mandatory or discretionary internal or external
as described below Dependency has four attributes but two can be applicable at the same time in following
ways mandatory external dependencies mandatory internal dependencies discretionary external dependencies
or discretionary internal dependencies
• Mandatory dependencies Mandatory dependencies are those that are legally or contractually required
or inherent in the nature of the work Mandatory dependencies often involve physical limitations such
as on a construction project where it is impossible to erect the superstructure until after the foundation
has been built or on an electronics project where a prototype has to be built before it can be tested
Mandatory dependencies are also sometimes referred to as hard logic or hard dependencies Technical
dependencies may not be mandatory The project team determines which dependencies are mandatory
during the process of sequencing the activities Mandatory dependencies should not be confused with
assigning schedule constraints in the scheduling tool158 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Discretionary dependencies Discretionary dependencies are sometimes referred to as preferred logic
preferential logic or soft logic Discretionary dependencies are established based on knowledge of best
practices within a particular application area or some unusual aspect of the project where a specific
sequence is desired even though there may be other acceptable sequences Discretionary dependencies
should be fully documented since they can create arbitrary total float values and can limit later scheduling
options When fast tracking techniques are employed these discretionary dependencies should be
reviewed and considered for modification or removal The project team determines which dependencies
are discretionary during the process of sequencing the activities
• External dependencies External dependencies involve a relationship between project activities and
nonproject activities These dependencies are usually outside the project team’s control For example
the testing activity in a software project may be dependent on the delivery of hardware from an external
source or governmental environmental hearings may need to be held before site preparation can begin
on a construction project The project management team determines which dependencies are external
during the process of sequencing the activities
• Internal dependencies Internal dependencies involve a precedence relationship between project
activities and are generally inside the project team’s control For example if the team cannot test a
machine until they assemble it this is an internal mandatory dependency The project management team
determines which dependencies are internal during the process of sequencing the activities
6323 Leads and Lags
A lead is the amount of time whereby a successor activity can be advanced with respect to a predecessor
activity For example on a project to construct a new office building the landscaping could be scheduled to start
two weeks prior to the scheduled punch list completion This would be shown as a finishtostart with a twoweek
lead as shown in Figure 610 Lead is often represented as a negative value for lag in scheduling software
Complete
Punch List
Write
Draft
Landscape
Building Lot
Edit
Draft
SS – 15 Days (Lag)FS – 2 Weeks (Lead)
Figure 610 Examples of Lead and Lag159©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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A lag is the amount of time whereby a successor activity will be delayed with respect to a predecessor activity
For example a technical writing team may begin editing the draft of a large document 15 days after they begin
writing it This can be shown as a starttostart relationship with a 15day lag as shown in Figure 610 Lag can
also be represented in project schedule network diagrams as shown in Figure 611 in the relationship between
activities H and I as indicated by the nomenclature SS+10 (starttostart plus 10 days lag) even though offset is
not shown relative to a timescale
The project management team determines the dependencies that may require a lead or a lag to accurately
define the logical relationship The use of leads and lags should not replace schedule logic Activities and their
related assumptions should be documented
633 Sequence Activities Outputs
6331 Project Schedule Network Diagrams
A project schedule network diagram is a graphical representation of the logical relationships also referred to as
dependencies among the project schedule activities Figure 611 illustrates a project schedule network diagram A
project schedule network diagram is produced manually or by using project management software It can include
full project details or have one or more summary activities A summary narrative can accompany the diagram and
describe the basic approach used to sequence the activities Any unusual activity sequences within the network
should be fully described within the narrative160 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
A B
C D E
Begin H F G End
I J
K L
FF
FS + 15
SS + 10
SS
Figure 611 Project Schedule Network Diagram
6332 Project Documents Updates
Project documents that may be updated include but are not limited to
• Activity lists
• Activity attributes
• Milestone list and
• Risk register
64 Estimate Activity Resources
Estimate Activity Resources is the process of estimating the type and quantities of material human
resources equipment or supplies required to perform each activity The key benefit of this process is that it
identifies the type quantity and characteristics of resources required to complete the activity which allows
more accurate cost and duration estimates The inputs tools and techniques and outputs of this process are
depicted in Figure 612 Figure 613 depicts the data flow diagram of the process161©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
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Inputs Tools & Techniques Outputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Resource calendars
5 Risk register
6 Activity cost estimates
7 Enterprise environmental
factors
8 Organizational process
assets
1 Expert judgment
2 Alternative analysis
3 Published estimating data
4 Bottomup estimating
5 Project management
software
1 Activity resource
requirements
2 Resource breakdown
structure
3 Project documents
updates
Figure 612 Estimate Activity Resources Inputs Tools & Techniques and Outputs
Project Time Management
64
Estimate
Activity
Resources
62
Define
Activities
61
Plan Schedule
Management
66
Develop
Schedule
65
Estimate Activity
Durations
• Activity list
• Activity attributes
• Schedule
management
plan
• Activity resource requirements
• Resource breakdown structure
• Project documents
updates
• Activity resource
requirements
Project
Documents
• Resource
calendars
• Risk
register • Activity cost
estimates
• Organizational
process assets
• Enterprise
environmental
factors122
Conduct
Procurements
92
Acquire
Project Team
112
Identify
Risks
72
Estimate
Costs
Enterprise
Organization
121
Plan
Procurement
Management
91
Plan Human
Resource
Management
Figure 613 Estimate Activity Resources Data Flow Diagram162 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
The Estimate Activity Resources process is closely coordinated with the Estimate Costs process (Section 72)
For example
• A construction project team will need to be familiar with local building codes Such knowledge is often
readily available from local sellers However if the local labor pool lacks experience with unusual or
specialized construction techniques the additional cost for a consultant may be the most effective way
to secure knowledge of the local building codes
• An automotive design team will need to be familiar with the latest in automated assembly techniques
The requisite knowledge might be obtained by hiring a consultant by sending a designer to a seminar on
robotics or by including someone from manufacturing as a member of the project team
641 Estimate Activity Resources Inputs
6411 Schedule Management Plan
Described in Section 6131 The schedule management plan identifies the level of accuracy and the units of
measure for the resources to be estimated
6412 Activity List
Described in Section 6231 The activity list identifies the activities which will need resources
6413 Activity Attributes
Described in Section 6232 The activity attributes provide the primary data input for use in estimating those
resources required for each activity in the activity list163©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6414 Resource Calendars
Described in Sections 9232 and 12233 A resource calendar is a calendar that identifies the working
days and shifts on which each specific resource is available Information on which resources (such as human
resources equipment and material) are potentially available during a planned activity period is used for
estimating resource utilization Resource calendars specify when and how long identified project resources
will be available during the project This information may be at the activity or project level This knowledge
includes consideration of attributes such as resource experience andor skill level as well as various
geographical locations from which the resources originate and when they may be available
6415 Risk Register
Described in Section 11231 Risk events may impact resource selection and availability Updates to the risk
register are included with project documents updates described in Section 11532 from Plan Risk Responses
6416 Activity Cost Estimates
Described in Section 7231 The cost of resources may impact resource selection
6417 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Estimate Activity
Resources process include but are not limited to resource location availability and skills
6418 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Estimate Activity Resources
process include but are not limited to
• Policies and procedures regarding staffing
• Policies and procedures relating to rental and purchase of supplies and equipment and
• Historical information regarding types of resources used for similar work on previous projects164 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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642 Estimate Activity Resources Tools and Techniques
6421 Expert Judgment
Expert judgment is often required to assess the resourcerelated inputs to this process Any group or person
with specialized knowledge in resource planning and estimating can provide such expertise
6422 Alternative Analysis
Many schedule activities have alternative methods of accomplishment They include using various levels of
resource capability or skills different size or type of machines different tools (hand versus automated) and make
rentorbuy decisions regarding the resource (Section 12135)
6423 Published Estimating Data
Several organizations routinely publish updated production rates and unit costs of resources for an extensive
array of labor trades material and equipment for different countries and geographical locations within countries
6424 BottomUp Estimating
Bottomup estimating is a method of estimating project duration or cost by aggregating the estimates of the
lowerlevel components of the WBS When an activity cannot be estimated with a reasonable degree of confidence
the work within the activity is decomposed into more detail The resource needs are estimated These estimates
are then aggregated into a total quantity for each of the activity’s resources Activities may or may not have
dependencies between them that can affect the application and use of resources If there are dependencies this
pattern of resource usage is reflected and documented in the estimated requirements of the activity
6425 Project Management Software
Project management software such as a scheduling software tool has the capability to help plan organize and
manage resource pools and develop resource estimates Depending on the sophistication of the software resource
breakdown structures resource availability resource rates and various resource calendars can be defined to assist
in optimizing resource utilization165©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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643 Estimate Activity Resources Outputs
6431 Activity Resource Requirements
Activity resource requirements identify the types and quantities of resources required for each activity in a work
package These requirements then can be aggregated to determine the estimated resources for each work package
and each work period The amount of detail and the level of specificity of the resource requirement descriptions
can vary by application area The resource requirements documentation for each activity can include the basis of
estimate for each resource as well as the assumptions that were made in determining which types of resources
are applied their availability and what quantities are used
6432 Resource Breakdown Structure
The resource breakdown structure is a hierarchical representation of resources by category and type Examples
of resource categories include labor material equipment and supplies Resource types may include the skill level
grade level or other information as appropriate to the project The resource breakdown structure is useful for
organizing and reporting project schedule data with resource utilization information
6433 Project Documents Updates
Project documents that may be updated include but are not limited to
• Activity list
• Activity attributes and
• Resource calendars
65 Estimate Activity Durations
Estimate Activity Durations is the process of estimating the number of work periods needed to complete
individual activities with estimated resources The key benefit of this process is that it provides the amount of time
each activity will take to complete which is a major input into the Develop Schedule process The inputs tools and
techniques and outputs of this process are depicted in Figure 614 Figure 615 depicts the data flow diagram of
the process166 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
Inputs Tools & Techniques Outputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Activity resource
requirements
5 Resource calendars
6 Project scope statement
7 Risk register
8 Resource breakdown
structure
9 Enterprise environmental
factors
10 Organizational process
assets
1 Expert judgment
2 Analogous estimating
3 Parametric estimating
4 Threepoint estimating
5 Group decisionmaking
techniques
6 Reserve analysis
1 Activity duration
estimates
2 Project documents
updates
Figure 614 Estimate Activity Durations Inputs Tools & Techniques and Outputs
Project Time Management
65
Estimate
Activity
Durations
61
Plan Schedule
Management
62
Define
Activities
64
Estimate Activity
Resources
66
Develop
Schedule
• Activity list
• Activity attributes
• Schedule
management
plan
• Activity resource
requirements
• Resource breakdown
structure
• Project documents
updates
• Activity
duration
estimates
Project
Documents
• Resource
calendars
• Risk
register
• Project
scope
statement
• Organizational
process assets
• Enterprise
environmental
factors122
Conduct
Procurement
92
Acquire
Project Team
112
Identify
Risks
53
Define
Scope
Enterprise
Organization
112
Identify
Risks
Figure 615 Estimate Activity Durations Data Flow Diagram167©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Estimating activity durations uses information on activity scope of work required resource types estimated
resource quantities and resource calendars The inputs of the estimates of activity duration originate from the
person or group on the project team who is most familiar with the nature of the work in the specific activity The
duration estimate is progressively elaborated and the process considers the quality and availability of the input
data For example as more detailed and precise data is available about the project engineering and design work
the accuracy of the duration estimates improves Thus the duration estimate can be assumed to be progressively
more accurate and of better quality
The Estimate Activity Durations process requires an estimation of the amount of work effort required to complete
the activity and the amount of available resources estimated to complete the activity These estimates are used to
approximate the number of work periods (activity duration) needed to complete the activity using the appropriate
project and resource calendars All data and assumptions that support duration estimating are documented for
each estimate of activity duration
651 Estimate Activity Durations Inputs
6511 Schedule Management Plan
Described in Section 6131 The schedule management plan defines the method used and the level of accuracy
along with other criteria required to estimate activity durations including the project update cycle
6512 Activity List
Described in Section 6231 The activity list identifies the activities that will need duration estimates
6513 Activity Attributes
Described in Section 6232 The activity attributes provide the primary data input for use in estimating durations
required for each activity in the activity list
6514 Activity Resource Requirements
Described in Section 6431 The estimated activity resource requirements will have an effect on the duration of
the activity since the level to which the resources assigned to the activity meet the requirements will significantly
influence the duration of most activities For example if additional or lowerskilled resources are assigned to an
activity there may be reduced efficiency or productivity due to increased communication training and coordination
needs leading to a longer duration estimate168 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6515 Resource Calendars
Described in Section 6414 The resource calendars influence the duration of schedule activities due to the
availability of specific resources type of resources and resources with specific attributes For example when staff
members are assigned to an activity on a fulltime basis in general a skilled staff member can be expected to
complete a given activity in less time than a relatively lessskilled staff member
6516 Project Scope Statement
Described in Section 5331 The assumptions and constraints from the project scope statement are considered
when estimating the activity durations Examples of assumptions include but are not limited to
• Existing conditions
• Availability of information and
• Length of the reporting periods
Examples of constraints include but are not limited to
• Available skilled resources and
• Contract terms and requirements
6517 Risk Register
Described in Section 11231 The risk register provides the list of risks along with the results of risk analysis
and risk response planning Updates to the risk register are included with project document updates described in
Section 11532
6518 Resource Breakdown Structure
Described in Section 6432 The resource breakdown structure provides a hierarchical structure of the identified
resources by resource category and resource type169©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6519 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Estimate Activity
Durations process include but are not limited to
• Duration estimating databases and other reference data
• Productivity metrics
• Published commercial information and
• Location of team members
65110 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Estimate Activity Durations
process include but are not limited to
• Historical duration information
• Project calendars
• Scheduling methodology and
• Lessons learned
652 Estimate Activity Durations Tools and Techniques
6521 Expert Judgment
Expert judgment guided by historical information can provide duration estimate information or recommended
maximum activity durations from prior similar projects Expert judgment can also be used to determine whether to
combine methods of estimating and how to reconcile differences between them
6522 Analogous Estimating
Analogous estimating is a technique for estimating the duration or cost of an activity or a project using
historical data from a similar activity or project Analogous estimating uses parameters from a previous
similar project such as duration budget size weight and complexity as the basis for estimating the same
parameter or measure for a future project When estimating durations this technique relies on the actual
duration of previous similar projects as the basis for estimating the duration of the current project It is a
gross value estimating approach sometimes adjusted for known differences in project complexity Analogous
duration estimating is frequently used to estimate project duration when there is a limited amount of detailed
information about the project170 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
Analogous estimating is generally less costly and less time consuming than other techniques but it is also
less accurate Analogous duration estimates can be applied to a total project or to segments of a project and may
be used in conjunction with other estimating methods Analogous estimating is most reliable when the previous
activities are similar in fact and not just in appearance and the project team members preparing the estimates
have the needed expertise
6523 Parametric Estimating
Parametric estimating is an estimating technique in which an algorithm is used to calculate cost or duration
based on historical data and project parameters Parametric estimating uses a statistical relationship between
historical data and other variables (eg square footage in construction) to calculate an estimate for activity
parameters such as cost budget and duration
Activity durations can be quantitatively determined by multiplying the quantity of work to be performed by labor
hours per unit of work For example activity duration on a design project is estimated by the number of drawings
multiplied by the number of labor hours per drawing or on a cable installation the meters of cable multiplied by the
number of labor hours per meter For example if the assigned resource is capable of installing 25 meters of cable
per hour the duration required to install 1000 meters is 40 hours (1000 meters divided by 25 meters per hour)
This technique can produce higher levels of accuracy depending upon the sophistication and underlying data
built into the model Parametric time estimates can be applied to a total project or to segments of a project in
conjunction with other estimating methods
6524 ThreePoint Estimating
The accuracy of singlepoint activity duration estimates may be improved by considering estimation uncertainty
and risk This concept originated with the program evaluation and review technique (PERT) PERT uses three
estimates to define an approximate range for an activity’s duration
• Most likely (tM) This estimate is based on the duration of the activity given the resources likely to be
assigned their productivity realistic expectations of availability for the activity dependencies on other
participants and interruptions
• Optimistic (tO) The activity duration based on analysis of the bestcase scenario for the activity
• Pessimistic (tP) The activity duration based on analysis of the worstcase scenario for the activity171©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Depending on the assumed distribution of values within the range of the three estimates the expected duration
tE can be calculated using a formula Two commonly used formulas are triangular and beta distributions The
formulas are
• Triangular Distribution tE (tO + tM + tP) 3
• Beta Distribution (from the traditional PERT technique) tE (tO + 4tM + tP) 6
Duration estimates based on three points with an assumed distribution provide an expected duration and clarify
the range of uncertainty around the expected duration
6525 Group DecisionMaking Techniques
Teambased approaches such as brainstorming the Delphi or nominal group techniques are useful for engaging
team members to improve estimate accuracy and commitment to the emerging estimates By involving a structured
group of people who are close to the technical execution of work in the estimation process additional information
is gained and more accurate estimates obtained Additionally when people are involved in the estimation process
their commitment towards meeting the resulting estimates increases
6526 Reserve Analysis
Duration estimates may include contingency reserves sometimes referred to as time reserves or buffers
into the project schedule to account for schedule uncertainty Contingency reserves are the estimated duration
within the schedule baseline which is allocated for identified risks that are accepted and for which contingent or
mitigation responses are developed Contingency reserves are associated with the knownunknowns which may
be estimated to account for this unknown amount of rework The contingency reserve may be a percentage of the
estimated activity duration a fixed number of work periods or may be developed by using quantitative analysis
methods such as Monte Carlo simulation (Section 11422) Contingency reserves may be separated from the
individual activities and aggregated into buffers as shown in Figure 619
As more precise information about the project becomes available the contingency reserve may be used
reduced or eliminated Contingency should be clearly identified in schedule documentation
Estimates may also be produced for the amount of management reserve of time for the project Management
reserves are a specified amount of the project duration withheld for management control purposes and are
reserved for unforeseen work that is within scope of the project Management reserves are intended to address the
unknownunknowns that can affect a project Management reserve is not included in the schedule baseline but
it is part of the overall project duration requirements Depending on contract terms use of management reserves
may require a change to the schedule baseline172 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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653 Estimate Activity Durations Outputs
6531 Activity Duration Estimates
Activity duration estimates are quantitative assessments of the likely number of time periods that are required
to complete an activity Duration estimates do not include any lags as described in Section 6323 Activity duration
estimates may include some indication of the range of possible results For example
• 2 weeks ± 2 days which indicates that the activity will take at least eight days and not more than twelve
(assuming a fiveday workweek) and
• 15 probability of exceeding three weeks which indicates a high probability—85 —that the activity
will take three weeks or less
6532 Project Documents Updates
Project documents that may be updated include but are not limited to
• Activity attributes and
• Assumptions made in developing the activity duration estimate such as skill levels and availability
as well as a basis of estimates for durations
66 Develop Schedule
Develop Schedule is the process of analyzing activity sequences durations resource requirements and
schedule constraints to create the project schedule model The key benefit of this process is that by entering
schedule activities durations resources resource availabilities and logical relationships into the scheduling tool it
generates a schedule model with planned dates for completing project activities The inputs tools and techniques
and outputs of this process are depicted in Figure 616 Figure 617 depicts the data flow diagram of the process173©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Inputs Tools & Techniques Outputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Project schedule
network diagrams
5 Activity resource
requirements
6 Resource calendars
7 Activity duration
estimates
8 Project scope statement
9 Risk register
10 Project staff assignments
11 Resource breakdown
structure
12 Enterprise environmental
factors
13 Organizational process
assets
1 Schedule network
analysis
2 Critical path method
3 Critical chain method
4 Resource optimization
techniques
5 Modeling techniques
6 Leads and lags
7 Schedule compression
8 Scheduling tool
1 Schedule baseline
2 Project schedule
3 Schedule data
4 Project calendars
5 Project management plan
updates
6 Project documents
updates
Figure 616 Develop Schedule Inputs Tools & Techniques and Outputs
Project Time Management
66
Develop
Schedule
67
Control
Schedule
• Project schedule
network diagrams
• Activity duration
estimates
• Activity resource
requirements
• Resource breakdown
structure• Activity list
• Activity attributes
• Project documents
updates
• Project schedule
• Project
calendars
• Schedule
data
• Project schedule
• Project
management
plan updates
• Schedule baseline
Project
Documents
• Resource calendars
• Project staff assignments
• Resource calendars
• Risk register
• Project scope statement
• Organizational
process assets
• Enterprise
environmental
factors
122
Conduct
Procurements
92
Acquire
Project Team
112
Identify
Risks
53
Define
Scope
Enterprise
Organization
73
Determine
Budget
72
Estimate
Costs
42
Develop Project
Management
Plan
121
Plan Procurement
Management
65
Estimate Activity
Durations
64
Estimate Activity
Resources
63
Sequence
Activities
62
Define
Activities
• Schedule
management plan
61
Plan Schedule
Management
Figure 617 Develop Schedule Data Flow Diagram174 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Developing an acceptable project schedule is often an iterative process The schedule model is used to
determine the planned start and finish dates for project activities and milestones based on the accuracy of the
inputs Schedule development can require the review and revision of duration estimates and resource estimates to
create the project schedule model to establish an approved project schedule that can serve as a baseline to track
progress Once the activity start and finish dates have been determined it is common to have project staff assigned
to the activities review their assigned activities and confirm that the start and finish dates present no conflict with
resource calendars or assigned activities in other projects or tasks and thus are still valid As work progresses
revising and maintaining the project schedule model to sustain a realistic schedule continues throughout the
duration of the project as described in Section 67
For more specific information regarding scheduling refer to the Practice Standard for Scheduling
661 Develop Schedule Inputs
6611 Schedule Management Plan
Described in Section 6131 The schedule management plan identifies the scheduling method and tool used to
create the schedule and how the schedule is to be calculated
6612 Activity List
Described in Section 6231 The activity list identifies the activities that will be included in the schedule model
6613 Activity Attributes
Described in Section 6232 The activity attributes provide the details used to build the schedule model
6614 Project Schedule Network Diagrams
Described in Section 6331 The project schedule network diagrams contain the logical relationships of
predecessors and successors that will be used to calculate the schedule175©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
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6615 Activity Resource Requirements
Described in Section 6431 The activity resource requirements identify the types and quantities of resources
required for each activity used to create the schedule model
6616 Resource Calendars
Described in Sections 9232 and 12233 The resource calendars contain information on the availability of
resources during the project
6617 Activity Duration Estimates
Described in Section 6531 The activity duration estimates contain the quantitative assessments of the likely
number of work periods that will be required to complete an activity that will be used to calculate the schedule
6618 Project Scope Statement
Described in Section 5331 The project scope statement contains assumptions and constraints that can impact
the development of the project schedule
6619 Risk Register
Described in Section 11231 The risk register provides the details of all identified risks and their characteristics
that affect the schedule model
66110 Project Staff Assignments
Described in Section 9231 The project staff assignments specify which resources are assigned to each
activity
66111 Resource Breakdown Structure
Described in Section 6432 The resource breakdown structure provides the details by which resource analysis
and organizational reporting can be done176 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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66112 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors include but are not limited to
• Standards
• Communication channels and
• Scheduling tool to be used in developing the schedule model
66113 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Develop Schedule process
include but are not limited to scheduling methodology and project calendar(s)
662 Develop Schedule Tools and Techniques
6621 Schedule Network Analysis
Schedule network analysis is a technique that generates the project schedule model It employs various analytical
techniques such as critical path method critical chain method whatif analysis and resource optimization
techniques to calculate the early and late start and finish dates for the uncompleted portions of project activities
Some network paths may have points of path convergence or path divergence that can be identified and used in
schedule compression analysis or other analyses
6622 Critical Path Method
The critical path method which is a method used to estimate the minimum project duration and determine the
amount of scheduling flexibility on the logical network paths within the schedule model This schedule network
analysis technique calculates the early start early finish late start and late finish dates for all activities without
regard for any resource limitations by performing a forward and backward pass analysis through the schedule
network as shown in Figure 618 In this example the longest path includes activities A C and D and therefore the
sequence of ACD is the critical path The critical path is the sequence of activities that represents the longest path
through a project which determines the shortest possible project duration The resulting early and late start and
finish dates are not necessarily the project schedule rather they indicate the time periods within which the activity
could be executed using the parameters entered in the schedule model for activity durations logical relationships
leads lags and other known constraints The critical path method is used to calculate the amount of scheduling
flexibility on the logical network paths within the schedule model177©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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On any network path the schedule flexibility is measured by the amount of time that a schedule activity can
be delayed or extended from its early start date without delaying the project finish date or violating a schedule
constraint and is termed total float A CPM critical path is normally characterized by zero total float on the
critical path As implemented with PDM sequencing critical paths may have positive zero or negative total
float depending on constraints applied Any activity on the critical path is called a critical path activity Positive
total float is caused when the backward pass is calculated from a schedule constraint that is later than the
early finish date that has been calculated during forward pass calculation Negative total float is caused when a
constraint on the late dates is violated by duration and logic Schedule networks may have multiple nearcritical
paths Many software packages allow the user to define the parameters used to determine the critical path(s)
Adjustments to activity durations (if more resources or less scope can be arranged) logical relationships (if the
relationships were discretionary to begin with) leads and lags or other schedule constraints may be necessary
to produce network paths with a zero or positive total float Once the total float for a network path has been
calculated then the free float—the amount of time that a schedule activity can be delayed without delaying the
early start date of any successor or violating a schedule constraint—can also be determined For example the
free float for Activity B in Figure 618 is 5 days
Critical Path Link
NonCritical Path Link
Activity
Node
Start FinishA
155
105
C
61015
6015
B
6510
11 5 15
D
16 15 30
16 0 30
Activity Name
Early
Start Duration Early
Finish
Late
Start
Total
Float
Late
Finish
Path A–B–D 25
Path A–C–D 30
(Critical Path)
KEY
Figure 618 Example of Critical Path Method178 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6623 Critical Chain Method
The critical chain method (CCM) is a schedule method that allows the project team to place buffers on any
project schedule path to account for limited resources and project uncertainties It is developed from the critical
path method approach and considers the effects of resource allocation resource optimization resource leveling
and activity duration uncertainty on the critical path determined using the critical path method To do so the critical
chain method introduces the concept of buffers and buffer management The critical chain method uses activities
with durations that do not include safety margins logical relationships and resource availability with statistically
determined buffers composed of the aggregated safety margins of activities at specified points on the project
schedule path to account for limited resources and project uncertainties The resourceconstrained critical path is
known as the critical chain
The critical chain method adds duration buffers that are nonwork schedule activities to manage uncertainty
One buffer placed at the end of the critical chain as shown in Figure 619 is known as the project buffer and
protects the target finish date from slippage along the critical chain Additional buffers known as feeding buffers
are placed at each point where a chain of dependent activities that are not on the critical chain feeds into the critical
chain Feeding buffers thus protect the critical chain from slippage along the feeding chains The size of each buffer
should account for the uncertainty in the duration of the chain of dependent activities leading up to that buffer Once
the buffer schedule activities are determined the planned activities are scheduled to their latest possible planned
start and finish dates Consequently instead of managing the total float of network paths the critical chain method
focuses on managing the remaining buffer durations against the remaining durations of chains of activities
Activity A
Critical Chain Link
NonCritical Link
Activity CStart Finish
Activity G
Activity B
Activity D
Feeding
Buffer
Feeding
Buffer
Activity E Activity F Project
Buffer
KEY
Figure 619 Example of Critical Chain Method179©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6624 Resource Optimization Techniques
Examples of resource optimization techniques that can be used to adjust the schedule model due to demand
and supply of resources include but are not limited to
• Resource leveling A technique in which start and finish dates are adjusted based on resource constraints
with the goal of balancing demand for resources with the available supply Resource leveling can be used
when shared or critically required resources are only available at certain times or in limited quantities
or overallocated such as when a resource has been assigned to two or more activities during the same
time period as shown in Figure 620 or to keep resource usage at a constant level Resource leveling
can often cause the original critical path to change usually to increase
Start
Activity A Tom 8 hrs
Sue 8 hrs
Activity B Sue 8 hrs
Activity C Tom 8 hrs
Tom 8 hrs
Sue 16 hrs
Tom 8 hrs
Day 2 Day 3Day 1
Start
Activity A Tom 8 hrs
Sue 8 hrs
Activity B Sue 8 hrs
Activity C Tom 8 hrs
Tom 8 hrs
Sue 8 hrs
Sue 8 hrs Tom 8 hrs
Day 2 Day 3Day 1
Activities Before Resource Leveling
Activities After Resource Leveling
Figure 620 Resource Leveling180 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Resource Smoothing A technique that adjusts the activities of a schedule model such that the
requirements for resources on the project do not exceed certain predefined resource limits In resource
smoothing as opposed to resource leveling the project’s critical path is not changed and the completion
date may not be delayed In other words activities may only be delayed within their free and total float
Thus resource smoothing may not be able to optimize all resources
6625 Modeling Techniques
Examples of modeling techniques include but are not limited to
• WhatIf Scenario Analysis Whatif scenario analysis is the process of evaluating scenarios in order
to predict their effect positively or negatively on project objectives This is an analysis of the question
What if the situation represented by scenario X’ happens A schedule network analysis is performed
using the schedule to compute the different scenarios such as delaying a major component delivery
extending specific engineering durations or introducing external factors such as a strike or a change in
the permitting process The outcome of the whatif scenario analysis can be used to assess the feasibility
of the project schedule under adverse conditions and in preparing contingency and response plans to
overcome or mitigate the impact of unexpected situations
• Simulation Simulation involves calculating multiple project durations with different sets of activity
assumptions usually using probability distributions constructed from the threepoint estimates (described
in Section 6524) to account for uncertainty The most common simulation technique is Monte Carlo
analysis (Section 11422) in which a distribution of possible activity durations is defined for each activity
and used to calculate a distribution of possible outcomes for the total project
6626 Leads and Lags
Described in Section 6323 Leads and lags are refinements applied during network analysis to develop a
viable schedule by adjusting the start time of the successor activities Leads are used in limited circumstances to
advance a successor activity with respect to the predecessor activity and lags are used in limited circumstances
where processes require a set period of time to elapse between the predecessors and successors without work or
resource impact181©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6627 Schedule Compression
Schedule compression techniques are used to shorten the schedule duration without reducing the project
scope in order to meet schedule constraints imposed dates or other schedule objectives Schedule compression
techniques include but are not limited to
• Crashing A technique used to shorten the schedule duration for the least incremental cost by adding
resources Examples of crashing include approving overtime bringing in additional resources or paying
to expedite delivery to activities on the critical path Crashing works only for activities on the critical path
where additional resources will shorten the activity’s duration Crashing does not always produce a viable
alternative and may result in increased risk andor cost
• Fast tracking A schedule compression technique in which activities or phases normally done in sequence
are performed in parallel for at least a portion of their duration An example is constructing the foundation
for a building before completing all of the architectural drawings Fast tracking may result in rework and
increased risk Fast tracking only works if activities can be overlapped to shorten the project duration
6628 Scheduling Tool
Automated scheduling tools contain the schedule model and expedite the scheduling process by generating
start and finish dates based on the inputs of activities network diagrams resources and activity durations using
schedule network analysis A scheduling tool can be used in conjunction with other project management software
applications as well as manual methods
663 Develop Schedule Outputs
6631 Schedule Baseline
A schedule baseline is the approved version of a schedule model that can be changed only through formal
change control procedures and is used as a basis for comparison to actual results It is accepted and approved by
the appropriate stakeholders as the schedule baseline with baseline start dates and baseline finish dates During
monitoring and controlling the approved baseline dates are compared to the actual start and finish dates to determine
whether variances have occurred The schedule baseline is a component of the project management plan182 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
6632 Project Schedule
The outputs from a schedule model are schedule presentations The project schedule is an output of a schedule
model that presents linked activities with planned dates durations milestones and resources At a minimum the
project schedule includes a planned start date and planned finish date for each activity If resource planning is done
at an early stage then the project schedule remains preliminary until resource assignments have been confirmed
and scheduled start and finish dates are established This process usually occurs no later than the completion of the
project management plan (Section 4231) A target project schedule model may also be developed with a defined
target start and target finish for each activity The project schedule presentation may be presented in summary
form sometimes referred to as the master schedule or milestone schedule or presented in detail Although a
project schedule model can be presented in tabular form it is more often presented graphically using one or more
of the following formats which are classified as presentations
• Bar charts These charts also known as Gantt charts represent schedule information where activities
are listed on the vertical axis dates are shown on the horizontal axis and activity durations are shown
as horizontal bars placed according to start and finish dates Bar charts are relatively easy to read
and are frequently used in management presentations For control and management communications
the broader more comprehensive summary activity sometimes referred to as a hammock activity is
used between milestones or across multiple interdependent work packages and is displayed in bar
chart reports An example is the summary schedule portion of Figure 621 that is presented in a WBS
structured format
• Milestone charts These charts are similar to bar charts but only identify the scheduled start or
completion of major deliverables and key external interfaces An example is the milestone schedule
portion of Figure 621
• Project schedule network diagrams These diagrams are commonly presented in the activityonnode
diagram format showing activities and relationships without a time scale sometimes referred to as a
pure logic diagram as shown in Figure 611 or presented in a timescaled schedule network diagram
format that is sometimes called a logic bar chart as shown for the detailed schedule in Figure 621These
diagrams with activity date information usually show both the project network logic and the project’s
critical path schedule activities This example also shows how each work package is planned as a series
of related activities Another presentation of the project schedule network diagram is a timescaled logic
diagram These diagrams include a time scale and bars that represent the duration of activities with the
logical relationships It is optimized to show the relationships between activities where any number of
activities may appear on the same line of the diagram in sequence183©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
6
Project Schedule Time Frame
Period 5Period 1 Period 2 Period 3
Activity
Identifier
11MB Begin New Product Z
Period 4
Calendar
units
Calendar
units
Calendar
units
Complete Component 1
Complete Component 2
Finish New Product Z
0
0
0
0
Activity Description
Project Schedule Time Frame
Period 5Period 1 Period 2 Period 3
Activity
Identifier
11MB 0
120
67
20
33
14
0
53
14
28
11
0
53
14
32
0
7
0
Period 4Activity Description
111M1
112M1
113MF
Complete Integration of Components 1 & 2 0113M1
Project Schedule Time Frame
Period 5Period 1 Period 2 Period 3
Activity
Identifier
11 Develop and Deliver New Product Z
Period 4
Work Package 1 Component 1
Work Package 2 Component 2
Work Package 3 Integrated Components 1 and 2
120
67
53
53
Activity Description
111
112
113
Milestone Schedule
Data Date
Data Date
Detailed Schedule
111T
11
111
111D
111B
112T
111M1
112
112D
112B
113M1
112M1
113
113G
113T
Data Date
SS
FS
113P
113MF
Summary Schedule
Begin New Product Z
Develop and Deliver Product Z
Work Package 1 Component 1
Design Component 1
Build Component 1
Test Component 1
Complete Component 1
Work Package 2 Component 2
Design Component 2
Build Component 2
Test Component 2
Complete Component 2
Work Package 3 Integrated Components 1 and 2
Integrate Components 1 and 2 as Product Z
Complete Integration of Components 1 and 2
Test Integrated Components as Product Z
Deliver Product Z
Finish New Product Z
Figure 621 Project Schedule Presentations —Examples184 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
Figure 621 shows schedule presentations for a sample project being executed with the work in progress
reported through the data date a point in time when the status of the project is recorded which is sometimes
also called the asof date or status date For a simple project schedule model Figure 621 reflects schedule
presentations in the forms of (1) a milestone schedule as a milestone chart (2) a summary schedule as a bar
chart and (3) a detailed schedule as a project schedule network diagram Figure 621 also visually shows the
relationships among the three different levels of schedule presentation
6633 Schedule Data
The schedule data for the project schedule model is the collection of information for describing and controlling
the schedule The schedule data includes at least the schedule milestones schedule activities activity attributes
and documentation of all identified assumptions and constraints The amount of additional data varies by application
area Information frequently supplied as supporting detail includes but is not limited to
• Resource requirements by time period often in the form of a resource histogram
• Alternative schedules such as bestcase or worstcase not resourceleveled or resourceleveled with
or without imposed dates and
• Scheduling of contingency reserves
Schedule data could also include such items as resource histograms cashflow projections and order and
delivery schedules
6634 Project Calendars
A project calendar identifies working days and shifts that are available for scheduled activities It distinguishes
time periods in days or parts of days that are available to complete scheduled activities from time periods that
are not available A schedule model may require more than one project calendar to allow for different work
periods for some activities to calculate the project schedule The project calendars may be updated
6635 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to
• Schedule baseline (Section 6631)
• Schedule management plan (Section 6131)185©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
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6636 Project Documents Updates
Project documents that may be updated include but are not limited to
• Activity resource requirements Resource leveling can have a significant effect on preliminary estimates
for the types and quantities of resources required If the resourceleveling analysis changes the project
resource requirements then the project resource requirements are updated
• Activity attributes Activity attributes (Section 6232) are updated to include any revised resource
requirements and any other revisions generated by the Develop Schedule process
• Calendars The calendar for each project may consist of multiple calendars project calendars individual
resource calendars etc as the basis for scheduling the project
• Risk register The risk register may need to be updated to reflect opportunities or threats perceived
through scheduling assumptions
67 Control Schedule
Control Schedule is the process of monitoring the status of project activities to update project progress and
manage changes to the schedule baseline to achieve the plan The key benefit of this process is that it provides
the means to recognize deviation from the plan and take corrective and preventive actions and thus minimize
risk The inputs tools and techniques and outputs of this process are depicted in Figure 622 Figure 623
depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Project schedule
3 Work performance data
4 Project calendars
5 Schedule data
6 Organizational process
assets
1 Performance reviews
2 Project management
software
3 Resource optimization
techniques
4 Modeling techniques
5 Leads and lags
6 Schedule compression
7 Scheduling tool
1 Work performance
information
2 Schedule forecasts
3 Change requests
4 Project management plan
updates
5 Project documents
updates
6 Organizational process
assets updates
Figure 622 Control Schedule Inputs Tools & Techniques and Outputs186 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
Project
Documents
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
Project Time Management
67
Control
Schedule
66
Develop
Schedule
• Work
performance
data
• Project
management
plan
• Organizational
process assets
• Organizational
process assets updates
• Schedule forecasts
• Work performance
information
• Project
documents
updates
• Project schedule
• Project calendars
• Schedule data
• Change requests
• Project
management plan
updates
42
Develop Project
Management
Plan
43
Direct and
Manage Project
Work
Enterprise
Organization
Figure 623 control Schedule data Flow diagram
Updating the schedule model requires knowing the actual performance to date Any change to the schedule
baseline can only be approved through the Perform Integrated Change Control process (Section 45) Control
Schedule as a component of the Perform Integrated Change Control process is concerned with
• Determining the current status of the project schedule
• Influencing the factors that create schedule changes
• Determining if the project schedule has changed and
• Managing the actual changes as they occur187©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
6
If any agile approach is utilized control schedule is concerned with
• Determining the current status of the project schedule by comparing the total amount of work delivered
and accepted against the estimates of work completed for the elapsed time cycle
• Conducting retrospective reviews (scheduled reviews to record lessons learned) for correcting processes
and improving if required
• Reprioritizing the remaining work plan (backlog)
• Determining the rate at which the deliverables are produced validated and accepted (velocity) in given
time per iteration (agreed work cycle duration typically two weeks or one month)
• Determining that the project schedule has changed and
• Managing the actual changes as they occur
671 Control Schedule Inputs
6711 Project Management Plan
Described in Section 4231 The project management plan contains the schedule management plan and the
schedule baseline The schedule management plan describes how the schedule will be managed and controlled
The schedule baseline is used as a reference to compare with actual results to determine if a change corrective
action or preventive action is necessary
6712 Project Schedule
Described in Section 6632 Project schedule refers to the most recent version with notations to indicate
updates completed activities and started activities as of the indicated data date
6713 Work Performance Data
Described in Section 4332 Work performance data refers to information about project progress such as which
activities have started their progress (eg actual duration remaining duration and physical percent complete)
and which activities have finished188 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
6714 Project Calendars
Described in Section 6634 A schedule model may require more than one project calendar to allow for
different work periods for some activities to calculate the schedule forecasts
6715 Schedule Data
Described in Section 6633 Schedule data will be reviewed and updated in the Control Schedule process
6716 Organizational Process Assets
Described in Section 214 The organizational process assets that influence the Control Schedule process
include but are not limited to
• Existing formal and informal schedule controlrelated policies procedures and guidelines
• Schedule control tools and
• Monitoring and reporting methods to be used
672 Control Schedule Tools and Techniques
6721 Performance Reviews
Performance reviews measure compare and analyze schedule performance such as actual start and
finish dates percent complete and remaining duration for work in progress Various techniques may be used
among them
• Trend analysis Trend analysis examines project performance over time to determine whether
performance is improving or deteriorating Graphical analysis techniques are valuable for understanding
performance to date and for comparison to future performance goals in the form of completion dates
• Critical path method (Section 6622) Comparing the progress along the critical path can help
determine schedule status The variance on the critical path will have a direct impact on the project end
date Evaluating the progress of activities on near critical paths can identify schedule risk189©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
6
• Critical chain method (Section 6623) Comparing the amount of buffer remaining to the amount of
buffer needed to protect the delivery date can help determine schedule status The difference between
the buffer needed and the buffer remaining can determine whether corrective action is appropriate
• Earned value management (Section 7421) Schedule performance measurements such as schedule
variance (SV) and schedule performance index (SPI) are used to assess the magnitude of variation to the
original schedule baseline The total float and early finish variances are also essential planning components
to evaluate project time performance Important aspects of schedule control include determining the cause
and degree of variance relative to the schedule baseline (Section 6631) estimating the implications
of those variances for future work to completion and deciding whether corrective or preventive action
is required For example a major delay on any activity not on the critical path may have little effect on
the overall project schedule while a much shorter delay on a critical or nearcritical activity may require
immediate action For projects not using earned value management similar variance analysis can be
performed by comparing planned activity start or finish dates against actual start or finish dates to
identify variances between the schedule baseline and actual project performance Further analysis can
be performed to determine the cause and degree of variance relative to the schedule baseline and any
corrective or preventative actions needed
6722 Project Management Software
Project management software for scheduling provides the ability to track planned dates versus actual dates
to report variances to and progress made against the schedule baseline and to forecast the effects of changes
to the project schedule model
6723 Resource Optimization Techniques
Described in Section 6624 Resource optimization techniques involve the scheduling of activities and the
resources required by those activities while taking into consideration both the resource availability and the project
time
6724 Modeling Techniques
Described in Section 6625 Modeling techniques are used to review various scenarios guided by risk monitoring
to bring the schedule model into alignment with the project management plan and approved baseline190 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
6725 Leads and Lags
Adjusting leads and lags is applied during network analysis to find ways to bring project activities that are
behind into alignment with the plan For example on a project to construct a new office building the landscaping
can be adjusted to start before the exterior work of the building is complete by increasing the lead time in the
relationship Or a technical writing team can adjust the start of editing the draft of a large document immediately
after the document is completed by eliminating or decreasing lag time
6726 Schedule Compression
Described in Section 6627 Schedule compression techniques are used to find ways to bring project activities
that are behind into alignment with the plan by fast tracking or crashing schedule for the remaining work
6727 Scheduling Tool
Schedule data is updated and compiled into the schedule model to reflect actual progress of the project and
remaining work to be completed The scheduling tool (Section 6628) and the supporting schedule data are used
in conjunction with manual methods or other project management software to perform schedule network analysis
to generate an updated project schedule
673 Control Schedule Outputs
6731 Work Performance Information
The calculated SV and SPI time performance indicators for WBS components in particular the work packages
and control accounts are documented and communicated to stakeholders
6732 Schedule Forecasts
Schedule forecasts are estimates or predictions of conditions and events in the project’s future based on
information and knowledge available at the time of the forecast Forecasts are updated and reissued based on
work performance information provided as the project is executed The information is based on the project’s past
performance and expected future performance and includes earned value performance indicators that could
impact the project in the future191©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
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6733 Change Requests
Schedule variance analysis along with review of progress reports results of performance measures and
modifications to the project scope or project schedule may result in change requests to the schedule baseline
scope baseline andor other components of the project management plan Change requests are processed for
review and disposition through the Perform Integrated Change Control process (Section 45) Preventive actions
may include recommended changes to eliminate or reduce the probability of negative schedule variances
6734 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to
• Schedule baseline Changes to the schedule baseline are incorporated in response to approved change
requests (Section 4431) related to project scope changes activity resources or activity duration
estimates The schedule baseline may be updated to reflect changes caused by schedule compression
techniques
• Schedule management plan The schedule management plan may be updated to reflect a change in
the way the schedule is managed
• Cost baseline The cost baseline may be updated to reflect approved change requests or changes caused
by compression techniques
6735 Project Documents Updates
Project documents that may be updated include but are not limited to
• Schedule Data New project schedule network diagrams may be developed to display approved remaining
durations and approved modifications to the schedule In some cases project schedule delays can be
so severe that development of a new target schedule with forecasted start and finish dates is needed to
provide realistic data for directing the work measuring performance and measuring progress
• Project Schedule An updated project schedule will be generated from the schedule model populated
with updated schedule data to reflect the schedule changes and manage the project
• Risk Register The risk register and risk response plans within it may also be updated based on the risks
that may arise due to schedule compression techniques192 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
6736 Organizational Process Assets Updates
Organizational process assets that may be updated include but are not limited to
• Causes of variances
• Corrective action chosen and the reasons and
• Other types of lessons learned from project schedule control193©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7
PROJECT COST MANAGEMENT
Project Cost Management includes the processes involved in planning estimating budgeting financing funding
managing and controlling costs so that the project can be completed within the approved budget
Figure 71 provides an overview of the following Project Cost Management processes
71 Plan Cost Management—The process that establishes the policies procedures and documentation
for planning managing expending and controlling project costs
72 Estimate Costs—The process of developing an approximation of the monetary resources needed to
complete project activities
73 Determine Budget—The process of aggregating the estimated costs of individual activities or work
packages to establish an authorized cost baseline
74 Control Costs—The process of monitoring the status of the project to update the project costs and
managing changes to the cost baseline
These processes interact with each other and with processes in other Knowledge Areas as described in
detail in Section 3 and Annex A1
On some projects especially those of smaller scope cost estimating and cost budgeting are tightly linked
and can be viewed as a single process that can be performed by a single person over a relatively short period
of time These are presented here as distinct processes because the tools and techniques for each are different
The ability to influence cost is greatest at the early stages of the project making early scope definition critical
(Section 53)
77194 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
1 Inputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Analytical techniques
3 Meetings
3 Outputs
1 Cost management plan
1 Inputs
1 Cost management plan
2 Human resource management
plan
3 Scope baseline
4 Project schedule
5 Risk register
6 Enterprise environmental
factors
7 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Analogous estimating
3 Parametric estimating
4 Bottomup estimating
5 Threepoint estimating
6 Reserve analysis
7 Cost of quality
8 Project management software
9 Vendor bid analysis
10 Group decisionmaking
techniques
3 Outputs
1 Activity cost estimates
2 Basis of estimates
3 Project documents updates
1 Inputs
1 Cost management plan
2 Scope baseline
3 Activity cost estimates
4 Basis of estimates
5 Project schedule
6 Resource calendars
7 Risk register
8 Agreements
9 Organizational process assets
2 Tools & Techniques
1 Cost aggregation
2 Reserve analysis
3 Expert judgment
4 Historical relationships
5 Funding limit reconciliation
3 Outputs
1 Cost baseline
2 Project funding requirements
3 Project documents updates
1 Inputs
1 Project management plan
2 Project funding requirements
3 Work performance data
4 Organizational process assets
2 Tools & Techniques
1 Earned value management
2 Forecasting
3 Tocomplete performance
index (TCPI)
4 Performance reviews
5 Project management software
6 Reserve analysis
3 Outputs
1 Work performance
information
2 Cost forecasts
3 Change requests
4 Project management plan
updates
5 Project documents updates
6 Organizational process assets
updates
Project Cost Management
Overview
72 Estimate Costs71 Plan Cost
Management 73 Determine Budget
74 Control Costs
Figure 71 Project Cost Management Overview195©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7
Project Cost Management should consider the stakeholder requirements for managing costs Different
stakeholders will measure project costs in different ways and at different times For example the cost of an
acquired item may be measured when the acquisition decision is made or committed the order is placed the item
is delivered or the actual cost is incurred or recorded for project accounting purposes
Project Cost Management is primarily concerned with the cost of the resources needed to complete project
activities Project Cost Management should also consider the effect of project decisions on the subsequent recurring
cost of using maintaining and supporting the product service or result of the project For example limiting the
number of design reviews can reduce the cost of the project but could increase the resulting product’s operating
costs
In many organizations predicting and analyzing the prospective financial performance of the project’s product is
performed outside of the project In others such as a capital facilities project Project Cost Management can include
this work When such predictions and analyses are included Project Cost Management may address additional
processes and numerous general financial management techniques such as return on investment discounted cash
flow and investment payback analysis
The cost management planning effort occurs early in project planning and sets the framework for each of the
cost management processes so that performance of the processes will be efficient and coordinated
71 Plan Cost Management
Plan Cost Management is the process that establishes the policies procedures and documentation for planning
managing expending and controlling project costs The key benefit of this process is that it provides guidance and
direction on how the project costs will be managed throughout the project The inputs tools and techniques and
outputs of this process are depicted in Figure 72 Figure 73 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process
assets
1 Expert judgment
2 Analytical techniques
3 Meetings
1 Cost management plan
Figure 72 Plan Cost Management Inputs Tools & Techniques and Outputs196 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
Project Cost Management
71
Plan Cost
Management
62
Define
Activities
63
Sequence
Activities
• Project charter
• Project
management
plan
• Enterprise
environmental
factors
• Organizational
process assets
• Cost
management
plan
42
Develop Project
Management
Plan
112
Identify
Risks
114
Perform
Quantitative
Risk Analysis
41
Develop Project
Charter
Enterprise
Organization
Figure 73 Plan cost Management data Flow diagram
The cost management processes and their associated tools and techniques are documented in the cost
management plan The cost management plan is a component of the project management plan
711 Plan cost Management Inputs
7111 Project Management Plan
Described in Section 4231 The project management plan contains information used to develop the cost
management plan which contains but is not limited to
• Scope baseline The scope baseline includes the project scope statement and WBS detail for cost
estimation and management
• Schedule baseline The schedule baseline defines when the project costs will be incurred
• other information Other costrelated scheduling risk and communications decisions from the project
management plan197©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
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7112 Project Charter
Described in Section 4131 The project charter provides the summary budget from which the detailed project
costs are developed The project charter also defines the project approval requirements that will influence the
management of the project costs
7113 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that influence the Plan Cost Management
process include but are not limited to
• Organizational culture and structure can all influence cost management
• Market conditions describe what products services and results are available in the regional and global
market
• Currency exchange rates for project costs sourced from more than one country
• Published commercial information such as resource cost rate information is often available from
commercial databases that track skills and human resource costs and provide standard costs for material
and equipment Published seller price lists are another source of information and
• Project management information system which provides alternative possibilities for managing cost
7114 Organizational Process Assets
Described in Section 214 The organizational process assets that influence the Plan Cost Management process
include but are not limited to
• Financial controls procedures (eg time reporting required expenditure and disbursement reviews
accounting codes and standard contract provisions)
• Historical information and lessons learned knowledge bases
• Financial databases and
• Existing formal and informal cost estimating and budgetingrelated policies procedures and guidelines198 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
712 Plan Cost Management Tools and Techniques
7121 Expert Judgment
Expert judgment guided by historical information provides valuable insight about the environment and
information from prior similar projects Expert judgment can also suggest whether to combine methods and how to
reconcile differences between them
Judgment based upon expertise in an application area Knowledge Area discipline industry etc as appropriate
for the activity being performed should be used in developing the cost management plan
7122 Analytical Techniques
Developing the cost management plan may involve choosing strategic options to fund the project such as
selffunding funding with equity or funding with debt The cost management plan may also detail ways to finance
project resources such as making purchasing renting or leasing These decisions like other financial decisions
affecting the project may affect project schedule andor risks
Organizational policies and procedures may influence which financial techniques are employed in these
decisions Techniques may include (but are not limited to) payback period return on investment internal rate of
return discounted cash flow and net present value
7123 Meetings
Project teams may hold planning meetings to develop the cost management plan Attendees at these meetings
may include the project manager the project sponsor selected project team members selected stakeholders
anyone with responsibility for project costs and others as needed
713 Plan Cost Management Outputs
7131 Cost Management Plan
The cost management plan is a component of the project management plan and describes how the project
costs will be planned structured and controlled The cost management processes and their associated tools and
techniques are documented in the cost management plan199©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7
For example the cost management plan can establish the following
• Units of measure Each unit used in measurements (such as staff hours staff days weeks for time
measures or meters liters tons kilometers or cubic yards for quantity measures or lump sum in
currency form) is defined for each of the resources
• Level of precision The degree to which activity cost estimates will be rounded up or down (eg
US10049 to US100 or US99559 to US1000) based on the scope of the activities and magnitude
of the project
• Level of accuracy The acceptable range (eg ±10) used in determining realistic activity cost estimates
is specified and may include an amount for contingencies
• Organizational procedures links The work breakdown structure (WBS) (Section 54) provides the
framework for the cost management plan allowing for consistency with the estimates budgets and
control of costs The WBS component used for the project cost accounting is called the control account
Each control account is assigned a unique code or account number(s) that links directly to the performing
organization’s accounting system
• Control thresholds Variance thresholds for monitoring cost performance may be specified to indicate
an agreedupon amount of variation to be allowed before some action needs to be taken Thresholds are
typically expressed as percentage deviations from the baseline plan
• Rules of performance measurement Earned value management (EVM) rules of performance
measurement are set For example the cost management plan may
○○ Define the points in the WBS at which measurement of control accounts will be performed
○○ Establish the earned value measurement techniques (eg weighted milestones fixedformula
percent complete etc) to be employed and
○○ Specify tracking methodologies and the earned value management computation equations for
calculating projected estimate at completion (EAC) forecasts to provide a validity check on the
bottomup EAC
For more specific information regarding earned value management refer to the Practice Standard for
Earned Value Management – Second Edition200 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
• Reporting formats The formats and frequency for the various cost reports are defined
• Process descriptions Descriptions of each of the other cost management processes are documented
• Additional details Additional details about cost management activities include but are not limited to
○○ Description of strategic funding choices
○○ Procedure to account for fluctuations in currency exchange rates and
○○ Procedure for project cost recording
72 Estimate Costs
Estimate Costs is the process of developing an approximation of the monetary resources needed to complete
project activities The key benefit of this process is that it determines the amount of cost required to complete
project work The inputs tools and techniques and outputs of this process are depicted in Figure 74 Figure 75
depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Cost management plan
2 Human resource
management plan
3 Scope baseline
4 Project schedule
5 Risk register
6 Enterprise environmental
factors
7 Organizational process
assets
1 Expert judgment
2 Analogous estimating
3 Parametric estimating
4 Bottomup estimating
5 Threepoint estimating
6 Reserve analysis
7 Cost of quality
8 Project management
software
9 Vendor bid analysis
10 Group decisionmaking
techniques
1 Activity cost estimates
2 Basis of estimates
3 Project documents
updates
Figure 74 Estimate Costs Inputs Tools & Techniques and Outputs201©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7
Project Cost Management
72
Estimate
Costs
73
Determine
Budget
• Cost
management
plan
• Project documents
updates
• Activity cost
estimates
• Basis of
estimates
Project
Documents
• Risk register
• Human resource
management plan
• Scope baseline
• Project schedule
• Enterprise
environmental
factors
• Organizational
process assets
112
Identify
Risks
91
Plan Human
Resource
Management
54
Create
WBS
66
Develop
Schedule
Enterprise
Organization
112
Identify
Risks
64
Estimate Activity
Resources
121
Plan Procurement
Management
71
Plan Cost
Management
Figure 75 Estimate Costs Data Flow Diagram
Cost estimates are a prediction that is based on the information known at a given point in time Cost estimates
include the identification and consideration of costing alternatives to initiate and complete the project Cost trade
offs and risks should be considered such as make versus buy buy versus lease and the sharing of resources in
order to achieve optimal costs for the project
Cost estimates are generally expressed in units of some currency (ie dollars euros yen etc) although in
some instances other units of measure such as staff hours or staff days are used to facilitate comparisons by
eliminating the effects of currency fluctuations
Cost estimates should be reviewed and refined during the course of the project to reflect additional detail
as it becomes available and assumptions are tested The accuracy of a project estimate will increase as the
project progresses through the project life cycle For example a project in the initiation phase may have a rough
order of magnitude (ROM) estimate in the range of −25 to +75 Later in the project as more information is
known definitive estimates could narrow the range of accuracy to 5 to +10 In some organizations there are
guidelines for when such refinements can be made and the degree of confidence or accuracy that is expected202 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
Sources of input information are derived from the outputs of processes in other Knowledge Areas Once received
all of this information will remain available as inputs to all of the cost management processes
Costs are estimated for all resources that will be charged to the project This includes but is not limited to labor
materials equipment services and facilities as well as special categories such as an inflation allowance cost
of financing or contingency costs A cost estimate is a quantitative assessment of the likely costs for resources
required to complete the activity Cost estimates may be presented at the activity level or in summary form
721 Estimate Costs Inputs
7211 Cost Management Plan
Described in Section 7131 The cost management plan defines how project costs will be managed and
controlled It includes the method used and the level of accuracy required to estimate activity cost
7212 Human Resource Management Plan
Described in Section 9131 The human resource management plan provides project staffing attributes
personnel rates and related rewardsrecognition which are necessary components for developing the project cost
estimates
7213 Scope Baseline
The scope baseline is comprised of the following
• Project scope statement The project scope statement (Section 5331) provides the product description
acceptance criteria key deliverables project boundaries assumptions and constraints about the project
One basic assumption that needs to be made when estimating project costs is whether the estimates will
be limited to direct project costs only or whether the estimates will also include indirect costs Indirect
costs are those costs that cannot be directly traced to a specific project and therefore will be accumulated
and allocated equitably over multiple projects by some approved and documented accounting procedure
One of the most common constraints for many projects is a limited project budget Examples of other
constraints are required delivery dates available skilled resources and organizational policies
• Work breakdown structure The WBS (Section 54) provides the relationships among all the components
of the project and the project deliverables
• WBS dictionary The WBS dictionary (Section 5431) provides detailed information about the deliverables
and a description of the work for each component in the WBS required to produce each deliverable203©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Additional information that may be found in the scope baseline with contractual and legal implications such as
health safety security performance environmental insurance intellectual property rights licenses and permits
All of this information should be considered when developing the cost estimates
7214 Project Schedule
Described in Section 6632 The type and quantity of resources and the amount of time which those resources
are applied to complete the work of the project are major factors in determining the project cost Schedule activity
resources and their respective durations are used as key inputs to this process Estimate Activity Resources (Section
64) involves determining the availability of staff the number of staff hours required and quantities of material and
equipment needed to perform schedule activities It is closely coordinated with cost estimating Activity duration
estimates (Section 6531) will affect cost estimates on any project where the project budget includes an allowance
for the cost of financing (including interest charges) and where resources are applied per unit of time for the
duration of the activity Activity duration estimates can also affect cost estimates that have timesensitive costs
included in them such as union labor with regularly expiring collective bargaining agreements or materials with
seasonal cost variations
7215 Risk Register
Described in Section 11231 The risk register should be reviewed to consider risk response costs Risks
which can be either threats or opportunities typically have an impact on both activity and overall project costs As
a general rule when the project experiences a negative risk event the nearterm cost of the project will usually
increase and there will sometimes be a delay in the project schedule In a similar way the project team should
be sensitive to potential opportunities that can benefit the business either by directly reducing activity costs or by
accelerating the schedule
7216 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that influence the Estimate Costs process
include but are not limited to
• Market conditions These conditions describe what products services and results are available in the
market from whom and under what terms and conditions Regional andor global supply and demand
conditions greatly influence resource costs204 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
• Published commercial information Resource cost rate information is often available from commercial
databases that track skills and human resource costs and provide standard costs for material and
equipment Published seller price lists are another source of information
7217 Organizational Process Assets
Described in Section 214 The organizational process assets that influence the Estimate Costs process include
but are not limited to
• Cost estimating policies
• Cost estimating templates
• Historical information and
• Lessons learned
722 Estimate Costs Tools and Techniques
7221 Expert Judgment
Expert judgment guided by historical information provides valuable insight about the environment and
information from prior similar projects Expert judgment can also be used to determine whether to combine methods
of estimating and how to reconcile differences between them
7222 Analogous Estimating
Analogous cost estimating uses the values such as scope cost budget and duration or measures of scale such
as size weight and complexity from a previous similar project as the basis for estimating the same parameter
or measurement for a current project When estimating costs this technique relies on the actual cost of previous
similar projects as the basis for estimating the cost of the current project It is a gross value estimating approach
sometimes adjusted for known differences in project complexity
Analogous cost estimating is frequently used to estimate a value when there is a limited amount of detailed
information about the project for example in the early phases of a project Analogous cost estimating uses
historical information and expert judgment205©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
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Analogous cost estimating is generally less costly and less time consuming than other techniques but it is also
generally less accurate Analogous cost estimates can be applied to a total project or to segments of a project in
conjunction with other estimating methods Analogous estimating is most reliable when the previous projects are
similar in fact and not just in appearance and the project team members preparing the estimates have the needed
expertise
7223 Parametric Estimating
Parametric estimating uses a statistical relationship between relevant historical data and other variables (eg
square footage in construction) to calculate a cost estimate for project work This technique can produce higher
levels of accuracy depending upon the sophistication and underlying data built into the model Parametric cost
estimates can be applied to a total project or to segments of a project in conjunction with other estimating methods
7224 BottomUp Estimating
Bottomup estimating is a method of estimating a component of work The cost of individual work packages or
activities is estimated to the greatest level of specified detail The detailed cost is then summarized or rolled up to
higher levels for subsequent reporting and tracking purposes The cost and accuracy of bottomup cost estimating
are typically influenced by the size and complexity of the individual activity or work package
7225 ThreePoint Estimating
The accuracy of singlepoint activity cost estimates may be improved by considering estimation uncertainty and
risk and using three estimates to define an approximate range for an activity’s cost
• Most likely (cM) The cost of the activity based on realistic effort assessment for the required work and
any predicted expenses
• Optimistic (cO) The activity cost based on analysis of the bestcase scenario for the activity
• Pessimistic (cP) The activity cost based on analysis of the worstcase scenario for the activity206 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Depending on the assumed distribution of values within the range of the three estimates the expected cost cE
can be calculated using a formula Two commonly used formulas are triangular and beta distributions The formulas
are
• Triangular Distribution cE (cO + cM + cP) 3
• Beta Distribution (from a traditional PERT analysis) cE (cO + 4cM + cP) 6
Cost estimates based on three points with an assumed distribution provide an expected cost and clarify the
range of uncertainty around the expected cost
7226 Reserve Analysis
Cost estimates may include contingency reserves (sometimes called contingency allowances) to account for
cost uncertainty Contingency reserves are the budget within the cost baseline that is allocated for identified risks
which are accepted and for which contingent or mitigating responses are developed Contingency reserves are
often viewed as the part of the budget intended to address the knownunknowns that can affect a project For
example rework for some project deliverables could be anticipated while the amount of this rework is unknown
Contingency reserves may be estimated to account for this unknown amount of rework Contingency reserves can
provide for a specific activity for the whole project or both The contingency reserve may be a percentage of the
estimated cost a fixed number or may be developed by using quantitative analysis methods
As more precise information about the project becomes available the contingency reserve may be used
reduced or eliminated Contingency should be clearly identified in cost documentation Contingency reserves are
part of the cost baseline and the overall funding requirements for the project
Estimates may also be produced for the amount of management reserve to be funded for the project
Management reserves are an amount of the project budget withheld for management control purposes and are
reserved for unforeseen work that is within scope of the project Management reserves are intended to address the
unknown unknowns that can affect a project The management reserve is not included in the cost baseline but
is part of the overall project budget and funding requirements When an amount of management reserves is used
to fund unforeseen work the amount of management reserve used is added to the cost baseline thus requiring an
approved change to the cost baseline
7227 Cost of Quality (COQ)
Assumptions about costs of quality (Section 8122) may be used to prepare the activity cost estimate207©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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7228 Project Management Software
Project management software applications computerized spreadsheets simulation and statistical tools are
used to assist with cost estimating Such tools can simplify the use of some costestimating techniques and thereby
facilitate rapid consideration of cost estimate alternatives
7229 Vendor Bid Analysis
Cost estimating methods may include analysis of what the project should cost based on the responsive bids from
qualified vendors When projects are awarded to a vendor under competitive processes additional cost estimating
work may be required of the project team to examine the price of individual deliverables and to derive a cost that
supports the final total project cost
72210 Group DecisionMaking Techniques
Teambased approaches such as brainstorming the Delphi or nominal group techniques are useful for engaging
team members to improve estimate accuracy and commitment to the emerging estimates By involving a structured
group of people who are close to the technical execution of work in the estimation process additional information is
gained and more accurate estimates are obtained Additionally when people are involved in the estimation process
their commitment towards meeting the resulting estimates increases
723 Estimate Costs Outputs
7231 Activity Cost Estimates
Activity cost estimates are quantitative assessments of the probable costs required to complete project
work Cost estimates can be presented in summary form or in detail Costs are estimated for all resources that
are applied to the activity cost estimate This includes but is not limited to direct labor materials equipment
services facilities information technology and special categories such as cost of financing (including interest
charges) an inflation allowance exchange rates or a cost contingency reserve Indirect costs if they are included
in the project estimate can be included at the activity level or at higher levels208 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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7232 Basis of Estimates
The amount and type of additional details supporting the cost estimate vary by application area Regardless of
the level of detail the supporting documentation should provide a clear and complete understanding of how the
cost estimate was derived
Supporting detail for activity cost estimates may include
• Documentation of the basis of the estimate (ie how it was developed)
• Documentation of all assumptions made
• Documentation of any known constraints
• Indication of the range of possible estimates (eg €10000 (±10) to indicate that the item is expected
to cost between a range of values) and
• Indication of the confidence level of the final estimate
7233 Project Documents Updates
Project documents that may be updated include but are not limited to the risk register
73 Determine Budget
Determine Budget is the process of aggregating the estimated costs of individual activities or work packages to
establish an authorized cost baseline The key benefit of this process is that it determines the cost baseline against
which project performance can be monitored and controlled The inputs tools and techniques and outputs of this
process are depicted in Figure 76 Figure 77 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Cost management plan
2 Scope baseline
3 Activity cost estimates
4 Basis of estimates
5 Project schedule
6 Resource calendars
7 Risk register
8 Agreements
9 Organizational process
assets
1 Cost aggregation
2 Reserve analysis
3 Expert judgment
4 Historical relationships
5 Funding limit
reconciliation
1 Cost baseline
2 Project funding
requirements
3 Project documents
updates
Figure 76 Determine Budget Inputs Tools & Techniques and Outputs209©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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7
Project Cost Management
73
Determine
Budget
74
Control
Costs
• Cost
management
plan
• Activity cost estimates
• Basis of estimates
• Project documents
updates
• Cost baseline
• Project
funding
requirements
Project
Documents
• Risk register
• Agreements
• Organizational
process assets
• Resource calendars
• Scope baseline• Project schedule
• Resource
calendars
112
Identify
Risks
122
Conduct
Procurements
92
Acquire Project
Team
54
Create
WBS
66
Develop
Schedule
Enterprise
Organization
42
Develop Project
Management
Plan
71
Plan Cost
Management
72
Estimate
Costs
Figure 77 Determine Budget Data Flow Diagram
A project budget includes all the funds authorized to execute the project The cost baseline is the approved
version of the timephased project budget but excludes management reserves
731 Determine Budget Inputs
7311 Cost Management Plan
Described in Section 7131 The cost management plan describes how the project costs will be managed and
controlled210 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7312 Scope Baseline
• Project scope statement Formal limitations by period for the expenditure of project funds can be
mandated by the organization by agreement (Section 12232) or by other entities such as government
agencies These funding constraints are reflected in the project scope statement
• Work breakdown structure The WBS (Section 54) provides the relationships among all the project
deliverables and their various components
• WBS dictionary The WBS dictionary (Section 5431) and related detailed statements of work provide
an identification of the deliverables and a description of the work in each WBS component required to
produce each deliverable
7313 Activity Cost Estimates
Described in Section 7231 Cost estimates for each activity within a work package are aggregated to obtain a
cost estimate for each work package
7314 Basis of Estimates
Described in Section 7232 Supporting detail for cost estimates contained in the basis for estimates should
specify any basic assumptions dealing with the inclusion or exclusion of indirect or other costs in the project budget
7315 Project Schedule
Described in Section 6632 The project schedule includes planned start and finish dates for the project’s
activities milestones work packages and control accounts This information can be used to aggregate costs to the
calendar periods in which the costs are planned to be incurred
7316 Resource Calendars
Described in Sections 9232 and 12233 Resource calendars provide information on which resources are
assigned to the project and when they are assigned This information can be used to indicate resource costs over
the duration of the project
7317 Risk Register
Described in Section 11231 The risk register should be reviewed to consider how to aggregate the risk response
costs Updates to the risk register are included with project document updates described in Section 11532211©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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7318 Agreements
Described in Section 12232 Applicable agreement information and costs relating to products services or
results that have been or will be purchased are included when determining the budget
7319 Organizational Process Assets
Described in Section 214 The organizational process assets that influence the Determine Budget process
include but are not limited to
• Existing formal and informal cost budgetingrelated policies procedures and guidelines
• Cost budgeting tools and
• Reporting methods
732 Determine Budget Tools and Techniques
7321 Cost Aggregation
Cost estimates are aggregated by work packages in accordance with the WBS The work package cost estimates
are then aggregated for the higher component levels of the WBS (such as control accounts) and ultimately for the
entire project
7322 Reserve Analysis
Budget reserve analysis can establish both the contingency reserves and the management reserves for the
project Management and contingency reserves are addressed in more detail in Section 7226
7323 Expert Judgment
Expert judgment guided by experience in an application area Knowledge Area discipline industry or similar
project aids in determining the budget Such expertise may be provided by any group or person with specialized
education knowledge skill experience or training Expert judgment is available from many sources including but
not limited to212 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
• Other units within the performing organization
• Consultants
• Stakeholders including customers
• Professional and technical associations and
• Industry groups
7324 Historical Relationships
Any historical relationships that result in parametric estimates or analogous estimates involve the use of project
characteristics (parameters) to develop mathematical models to predict total project costs Such models may be
simple (eg residential home construction is based on a certain cost per square foot of space) or complex (eg one
model of software development costing uses multiple separate adjustment factors each of which has numerous
points within it)
Both the cost and accuracy of analogous and parametric models can vary widely They are most likely to be
reliable when
• Historical information used to develop the model is accurate
• Parameters used in the model are readily quantifiable and
• Models are scalable such that they work for large projects small projects and phases of a project
7325 Funding Limit Reconciliation
The expenditure of funds should be reconciled with any funding limits on the commitment of funds for the project
A variance between the funding limits and the planned expenditures will sometimes necessitate the rescheduling of
work to level out the rate of expenditures This is accomplished by placing imposed date constraints for work into
the project schedule
733 Determine Budget Outputs
7331 Cost Baseline
The cost baseline is the approved version of the timephased project budget excluding any management reserves
which can only be changed through formal change control procedures and is used as a basis for comparison to
actual results It is developed as a summation of the approved budgets for the different schedule activities213©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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7
Figure 78 illustrates the various components of the project budget and cost baseline Activity cost estimates
for the various project activities along with any contingency reserves (Section 7226) for these activities are
aggregated into their associated work package costs The work package cost estimates along with any contingency
reserves estimated for the work packages are aggregated into control accounts The summation of the control
accounts make up the cost baseline Since the cost estimates that make up the cost baseline are directly tied to the
schedule activities this enables a timephased view of the cost baseline which is typically displayed in the form of
an Scurve as is illustrated in Figure 79
Management reserves (Section 7226) are added to the cost baseline to produce the project budget As changes
warranting the use of management reserves arise the change control process is used to obtain approval to move
the applicable management reserve funds into the cost baseline
Activity Cost
Estimates
Activity
Contingency ReserveWork Package
Cost Estimates
Contingency
ReserveCost
Baseline
Control
Accounts
Management
Reserve
Project
Budget
Project Budget Component
Total Amount
Figure 78 Project Budget Components214 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
BAC
Project Budget
Management Reserve
Funding Requirements
Cost Baseline
Expenditures
Time
Cumulative Values
Figure 79 Cost Baseline Expenditures and Funding Requirements
7332 Project Funding Requirements
Total funding requirements and periodic funding requirements (eg quarterly annually) are derived from the
cost baseline The cost baseline will include projected expenditures plus anticipated liabilities Funding often occurs
in incremental amounts that are not continuous and may not be evenly distributed which appear as steps as
shown in Figure 79 The total funds required are those included in the cost baseline plus management reserves
if any Funding requirements may include the source(s) of the funding
7333 Project Documents Updates
Project documents that may be updated include but are not limited to
• Risk register
• Activity cost estimates and
• Project schedule215©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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7
74 Control Costs
Control Costs is the process of monitoring the status of the project to update the project costs and managing
changes to the cost baseline The key benefit of this process is that it provides the means to recognize variance
from the plan in order to take corrective action and minimize risk The inputs tools and techniques and outputs of
this process are depicted in Figure 710 Figure 711 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Project funding
requirements
3 Work performance data
4 Organizational process
assets
1 Earned value
management
2 Forecasting
3 Tocomplete
performance index (TCPI)
4 Performance reviews
5 Project management
software
6 Reserve analysis
1 Work performance
information
2 Cost forecasts
3 Change requests
4 Project management plan
updates
5 Project documents
updates
6 Organizational process
assets updates
Figure 710 Control Costs Inputs Tools & Techniques and Outputs
Project Cost Management
74
Control
Costs
• Project funding
requirements
• Project documents
updates
• Change
requests
• Work performance
information
• Cost
forecasts
• Organizational
process assets
updates
Project
Documents
• Project
management
plan
• Work performance
data
• Organizational
process assets
43
Direct and
Manage Project
Work
42
Develop Project
Management
Plan
Enterprise
Organization
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
73
Determine
Budget
Figure 711 Control Costs Data Flow Diagram216 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
Updating the budget requires knowledge of the actual costs spent to date Any increase to the authorized
budget can only be approved through the Perform Integrated Change Control process (Section 45) Monitoring the
expenditure of funds without regard to the value of work being accomplished for such expenditures has little value
to the project other than to allow the project team to stay within the authorized funding Much of the effort of cost
control involves analyzing the relationship between the consumption of project funds to the physical work being
accomplished for such expenditures The key to effective cost control is the management of the approved cost
baseline and the changes to that baseline
Project cost control includes
• Influencing the factors that create changes to the authorized cost baseline
• Ensuring that all change requests are acted on in a timely manner
• Managing the actual changes when and as they occur
• Ensuring that cost expenditures do not exceed the authorized funding by period by WBS component by
activity and in total for the project
• Monitoring cost performance to isolate and understand variances from the approved cost baseline
• Monitoring work performance against funds expended
• Preventing unapproved changes from being included in the reported cost or resource usage
• Informing appropriate stakeholders of all approved changes and associated cost and
• Bringing expected cost overruns within acceptable limits
741 Control Costs Inputs
7411 Project Management Plan
Described in Section 4231 The project management plan contains the following information that is used to
control cost
• Cost baseline The cost baseline is compared with actual results to determine if a change corrective
action or preventive action is necessary
• Cost management plan The cost management plan describes how the project costs will be managed
and controlled (Section 7131)217©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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7412 Project Funding Requirements
Described in Section 7332 The project funding requirements include projected expenditures plus anticipated
liabilities
7413 Work Performance Data
Described in Section 4332 Work performance data includes information about project progress such as
which activities have started their progress and which deliverables have finished Information also includes costs
that have been authorized and incurred
7414 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Control Costs process
include but are not limited to
• Existing formal and informal cost controlrelated policies procedures and guidelines
• Cost control tools and
• Monitoring and reporting methods to be used
742 Control Costs Tools and Techniques
7421 Earned Value Management
Earned value management (EVM) is a methodology that combines scope schedule and resource
measurements to assess project performance and progress It is a commonly used method of performance
measurement for projects It integrates the scope baseline with the cost baseline along with the schedule
baseline to form the performance baseline which helps the project management team assess and measure
project performance and progress It is a project management technique that requires the formation of an
integrated baseline against which performance can be measured for the duration of the project The principles
of EVM can be applied to all projects in any industry EVM develops and monitors three key dimensions for each
work package and control account218 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Planned value Planned value (PV) is the authorized budget assigned to scheduled work It is the
authorized budget planned for the work to be accomplished for an activity or work breakdown structure
component not including management reserve This budget is allocated by phase over the life of
the project but at a given moment planned value defines the physical work that should have been
accomplished The total of the PV is sometimes referred to as the performance measurement baseline
(PMB) The total planned value for the project is also known as budget at completion (BAC)
• Earned value Earned value (EV) is a measure of work performed expressed in terms of the budget
authorized for that work It is the budget associated with the authorized work that has been completed
The EV being measured needs to be related to the PMB and the EV measured cannot be greater than the
authorized PV budget for a component The EV is often used to calculate the percent complete of a project
Progress measurement criteria should be established for each WBS component to measure work in
progress Project managers monitor EV both incrementally to determine current status and cumulatively
to determine the longterm performance trends
• Actual cost Actual cost (AC) is the realized cost incurred for the work performed on an activity during
a specific time period It is the total cost incurred in accomplishing the work that the EV measured The
AC needs to correspond in definition to what was budgeted in the PV and measured in the EV (eg
direct hours only direct costs only or all costs including indirect costs) The AC will have no upper limit
whatever is spent to achieve the EV will be measured
Variances from the approved baseline will also be monitored
• Schedule variance Schedule variance (SV) is a measure of schedule performance expressed as the
difference between the earned value and the planned value It is the amount by which the project is ahead
or behind the planned delivery date at a given point in time It is a measure of schedule performance on
a project It is equal to the earned value (EV) minus the planned value (PV) The EVM schedule variance is
a useful metric in that it can indicate when a project is falling behind or is ahead of its baseline schedule
The EVM schedule variance will ultimately equal zero when the project is completed because all of the
planned values will have been earned Schedule variance is best used in conjunction with critical path
methodology (CPM) scheduling and risk management Equation SV EV – PV
• Cost variance Cost variance (CV) is the amount of budget deficit or surplus at a given point in time
expressed as the difference between earned value and the actual cost It is a measure of cost performance
on a project It is equal to the earned value (EV) minus the actual cost (AC) The cost variance at the end
of the project will be the difference between the budget at completion (BAC) and the actual amount spent
The CV is particularly critical because it indicates the relationship of physical performance to the costs
spent Negative CV is often difficult for the project to recover Equation CV EV − AC 219©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
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The SV and CV values can be converted to efficiency indicators to reflect the cost and schedule
performance of any project for comparison against all other projects or within a portfolio of projects The
variances are useful for determining project status
• Schedule performance index The schedule performance index (SPI) is a measure of schedule efficiency
expressed as the ratio of earned value to planned value It measures how efficiently the project team is
using its time It is sometimes used in conjunction with the cost performance index (CPI) to forecast the
final project completion estimates An SPI value less than 10 indicates less work was completed than
was planned An SPI greater than 10 indicates that more work was completed than was planned Since
the SPI measures all project work the performance on the critical path also needs to be analyzed to
determine whether the project will finish ahead of or behind its planned finish date The SPI is equal to
the ratio of the EV to the PV Equation SPI EVPV
• Cost performance index The cost performance index (CPI) is a measure of the cost efficiency of budgeted
resources expressed as a ratio of earned value to actual cost It is considered the most critical EVM
metric and measures the cost efficiency for the work completed A CPI value of less than 10 indicates a
cost overrun for work completed A CPI value greater than 10 indicates a cost underrun of performance
to date The CPI is equal to the ratio of the EV to the AC The indices are useful for determining project
status and providing a basis for estimating project cost and schedule outcome Equation CPI EVAC
The three parameters of planned value earned value and actual cost can be monitored and reported on both
a periodbyperiod basis (typically weekly or monthly) and on a cumulative basis Figure 712 uses Scurves to
display EV data for a project that is performing over budget and behind the schedule
BAC
ETC
Project Budget
Management Reserve
Planned
Value (PV)
Earned
Value (PV)
Actual
Cost (AC)
EAC
Time
Cumulative Cost
Data Date
Figure 712 Earned Value Planned Value and Actual Costs220 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7422 Forecasting
As the project progresses the project team may develop a forecast for the estimate at completion (EAC) that
may differ from the budget at completion (BAC) based on the project performance If it becomes obvious that the
BAC is no longer viable the project manager should consider the forecasted EAC Forecasting the EAC involves
making projections of conditions and events in the project’s future based on current performance information
and other knowledge available at the time of the forecast Forecasts are generated updated and reissued based
on work performance data (Section 4332) that is provided as the project is executed The work performance
information covers the project’s past performance and any information that could impact the project in the future
EACs are typically based on the actual costs incurred for work completed plus an estimate to complete (ETC)
the remaining work It is incumbent on the project team to predict what it may encounter to perform the ETC based
on its experience to date The EVM method works well in conjunction with manual forecasts of the required EAC
costs The most common EAC forecasting approach is a manual bottomup summation by the project manager
and project team
The project manager’s bottomup EAC method builds upon the actual costs and experience incurred for
the work completed and requires a new estimate to complete the remaining project work Equation EAC
AC + Bottomup ETC
The project manager’s manual EAC is quickly compared with a range of calculated EACs representing various
risk scenarios When calculating EAC values the cumulative CPI and SPI values are typically used While EVM data
quickly provide many statistical EACs only three of the more common methods are described as follows
• EAC forecast for ETC work performed at the budgeted rate This EAC method accepts the actual
project performance to date (whether favorable or unfavorable) as represented by the actual costs and
predicts that all future ETC work will be accomplished at the budgeted rate When actual performance
is unfavorable the assumption that future performance will improve should be accepted only when
supported by project risk analysis Equation EAC AC + (BAC – EV)
• EAC forecast for ETC work performed at the present CPI This method assumes what the project has
experienced to date can be expected to continue in the future The ETC work is assumed to be performed
at the same cumulative cost performance index (CPI) as that incurred by the project to date Equation
EAC BAC CPI221©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7
• EAC forecast for ETC work considering both SPI and CPI factors In this forecast the ETC work will
be performed at an efficiency rate that considers both the cost and schedule performance indices This
method is most useful when the project schedule is a factor impacting the ETC effort Variations of this
method weight the CPI and SPI at different values (eg 8020 5050 or some other ratio) according to
the project manager’s judgment Equation EAC AC + [(BAC – EV) (CPI × SPI)]
Each of these approaches is applicable for any given project and will provide the project management team with
an early warning signal if the EAC forecasts are not within acceptable tolerances
7423 ToComplete Performance Index (TCPI)
The tocomplete performance index (TCPI) is a measure of the cost performance that is required to be achieved
with the remaining resources in order to meet a specified management goal expressed as the ratio of the cost to
finish the outstanding work to the remaining budget TCPI is the calculated cost performance index that is achieved
on the remaining work to meet a specified management goal such as the BAC or the EAC If it becomes obvious
that the BAC is no longer viable the project manager should consider the forecasted EAC Once approved the EAC
may replace the BAC in the TCPI calculation The equation for the TCPI based on the BAC (BAC – EV) (BAC – AC)
The TCPI is conceptually displayed in Figure 713 The equation for the TCPI is shown in the lower left as the
work remaining (defined as the BAC minus the EV) divided by the funds remaining (which can be either the BAC
minus the AC or the EAC minus the AC)
If the cumulative CPI falls below the baseline (as shown in Figure 713) all future work of the project will need
to be performed immediately in the range of the TCPI (BAC) (as reflected in the top line of Figure 713) to stay
within the authorized BAC Whether this level of performance is achievable is a judgment call based on a number
of considerations including risk schedule and technical performance This level of performance is displayed as
the TCPI (EAC) line The equation for the TCPI based on the EAC (BAC – EV) (EAC – AC) The EVM formulas are
provided in Table 71222 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
Status Date
100
>1
<1
TCPI
(BAC)
TCPI
(EAC)
Baseline Plan
Cumulative
CPI
Formula
TCPIWork Remaining (BACEV)
Funds Remaining (BACAC) or (EACAC)
Figure 713 ToComplete Performance Index (TCPI)
7424 Performance Reviews
Performance reviews compare cost performance over time schedule activities or work packages overrunning
and underrunning the budget and estimated funds needed to complete work in progress If EVM is being used the
following information is determined
• Variance analysis Variance analysis as used in EVM is the explanation (cause impact and corrective
actions) for cost (CV EV – AC) schedule (SV EV – PV) and variance at completion (VAC BAC – EAC)
variances Cost and schedule variances are the most frequently analyzed measurements For projects
not using earned value management similar variance analyses can be performed by comparing planned
activity cost against actual activity cost to identify variances between the cost baseline and actual
project performance Further analysis can be performed to determine the cause and degree of variance
relative to the schedule baseline and any corrective or preventative actions needed Cost performance
measurements are used to assess the magnitude of variation to the original cost baseline An important
aspect of project cost control includes determining the cause and degree of variance relative to the
cost baseline (Section 7331) and deciding whether corrective or preventive action is required The
percentage range of acceptable variances will tend to decrease as more work is accomplished223©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7
• Trend analysis Trend analysis examines project performance over time to determine if performance is
improving or deteriorating Graphical analysis techniques are valuable for understanding performance
to date and for comparison to future performance goals in the form of BAC versus EAC and completion
dates
• Earned value performance Earned value performance compares the performance measurement
baseline to actual schedule and cost performance If EVM is not being used then the analysis of the cost
baseline against actual costs for the work performed is used for cost performance comparisons224 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
Table 71 Earned Value Calculations Summary Table
Earned Value Analysis
Lexicon Definition How Used EquationAbbreviation Name Interpretation of Result
The authorized budget assigned to
scheduled work
The measure of work performed
expressed in terms of the budget
authorized for that work
The realized cost incurred for the
work performed on an activity during
a specific time period
The sum of all budgets established
for the work to be performed
The amount of budget deficit or
surplus at a given point in time
expressed as the difference between
the earned value and the actual cost
The amount by which the project is
ahead or behind the planned
delivery date at a given point in
time expressed as the difference
between the earned value and the
planned value
A projection of the amount of budget
deficit or surplus expressed as the
difference between the budget at
completion and the estimate at
completion
A measure of the cost efficiency of
budgeted resources
expressed as the ratio of earned
value to actual cost
A measure of schedule efficiency
expressed as the ratio of earned
value to planned value
The expected total cost of com
pleting all work expressed as the
sum of the actual cost to date and
the estimate to complete
The expected cost to finish all the
remaining project work
A measure of the cost performance
that must be achieved with the
remaining resources in order to meet
a specified management goal
expressed as the ratio of the cost to
finish the outstanding work to the
budget available
Planned
Value
Earned Value
Actual Cost
Budget at
Completion
Cost Variance
Schedule
Variance
Variance at
Completion
Cost
Performance
Index
Schedule
Performance
Index
Estimate At
Completion
Estimate to
Complete
To Complete
Performance
Index
PV
EV
AC
BAC
CV
SV
VAC
CPI
SPI
EAC
ETC
TCPI
The value of the work planned to be
completed to a point in time usually
the data date or project completion
The planned value of all the work
completed (earned) to a point in
time usually the data date without
reference to actual costs
The actual cost of all the work
completed to a point in time usually
the data date
The value of total planned work the
project cost baseline
The difference between the value of
work completed to a point in time
usually the data date and the actual
costs to the same point in time
The difference between the work
completed to a point in time usually
the data date and the work planned
to be completed to the same point
in time
The estimated difference in cost at
the completion of the project
A CPI of 10 means the project is
exactly on budget that the work
actually done so far is exactly the
same as the cost so far Other values
show the percentage of how much
costs are over or under the budgeted
amount for work accomplished
An SPI of 10 means that the project
is exactly on schedule that the work
actually done so far is exactly the
same as the work planned to be
done so far Other values show the
percentage of how much costs are
over or under the budgeted amount
for work planned
If the CPI is expected to be the same
for the remainder of the project EAC
can be calculated using
If future work will be accomplished
at the planned rate use
If the initial plan is no longer valid
use
If both the CPI and SPI influence the
remaining work use
Assuming work is proceeding on
plan the cost of completing the
remaining authorized work can be
calculated using
Reestimate the remaining work from
the bottom up
The efficiency that must be
maintained in order to complete on
plan
The efficiency that must be
maintained in order to complete the
current EAC
EV sum of the planned
value of completed work
CV EV – AC
SV EV – PV
VAC BAC – EAC
CPI EVAC
SPI EVPV
EAC BACCPI
EAC AC + BAC – EV
EAC AC + Bottomup ETC
EAC AC + [(BAC – EV)
(CPI x SPI)]
ETC EAC – AC
ETC Reestimate
TCPI (BAC – EV)(BAC – AC)
TCPI (BAC – EV)(EAC – AC)
Positive Under planned cost
Neutral On planned cost
Negative Over planned cost
Positive Ahead of Schedule
Neutral On schedule
Negative Behind Schedule
Positive Under planned cost
Neutral On planned cost
Negative Over planned cost
Greater than 10 Under planned
cost
Exactly 10 On planned cost
Less than 10 Over planned cost
Greater than 10 Ahead of
schedule
Exactly 10 On schedule
Less than 10 Behind schedule
Greater than 10 Harder to
complete
Exactly 10 Same to complete
Less than 10 Easier to complete
Greater than 10 Harder to
complete
Exactly 10 Same to complete
Less than 10 Easier to complete 225©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7
7425 Project Management Software
Project management software is often used to monitor the three EVM dimensions (PV EV and AC) to display
graphical trends and to forecast a range of possible final project results
7426 Reserve Analysis
During cost control reserve analysis is used to monitor the status of contingency and management reserves
for the project to determine if these reserves are still needed or if additional reserves need to be requested
As work on the project progresses these reserves may be used as planned to cover the cost of risk mitigation
events or other contingencies Or if the probable risk events do not occur the unused contingency reserves
may be removed from the project budget to free up resources for other projects or operations Additional risk
analysis during the project may reveal a need to request that additional reserves be added to the project budget
Management and contingency reserves are addressed in more detail in Section 7226
743 Control Costs Outputs
7431 Work Performance Information
The calculated CV SV CPI SPI TCPI and VAC values for WBS components in particular the work packages and
control accounts are documented and communicated to stakeholders
7432 Cost Forecasts
Either a calculated EAC value or a bottomup EAC value is documented and communicated to stakeholders
7433 Change Requests
Analysis of project performance may result in a change request to the cost baseline or other components of the
project management plan Change requests may include preventive or corrective actions and are processed for
review and disposition through the Perform Integrated Change Control process (Section 45)
7434 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to226 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
• Cost baseline Changes to the cost baseline are incorporated in response to approved changes in scope
activity resources or cost estimates In some cases cost variances can be so severe that a revised cost
baseline is needed to provide a realistic basis for performance measurement
• Cost management plan Changes to the cost management plan such as changes to control thresholds
or specified levels of accuracy required in managing the project’s cost are incorporated in response to
feedback from relevant stakeholders
7435 Project Documents Updates
Project documents that may be updated include but are not limited to
• Cost estimates and
• Basis of estimates
7436 Organizational Process Assets Updates
Organizational process assets that may be updated include but are not limited to
• Causes of variances
• Corrective action chosen and the reasons
• Financial databases and
• Other types of lessons learned from project cost control227©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8
PROJECT QUALITY MANAGEMENT
Project Quality Management includes the processes and activities of the performing organization that
determine quality policies objectives and responsibilities so that the project will satisfy the needs for which it was
undertaken Project Quality Management uses policies and procedures to implement within the project’s context
the organization’s quality management system and as appropriate it supports continuous process improvement
activities as undertaken on behalf of the performing organization Project Quality Management works to ensure that
the project requirements including product requirements are met and validated
Figure 81 provides an overview of the Project Quality Management processes which include
81 Plan Quality Management—The process of identifying quality requirements andor standards for the
project and its deliverables and documenting how the project will demonstrate compliance with quality
requirements
82 Perform Quality Assurance—The process of auditing the quality requirements and the results from
quality control measurements to ensure that appropriate quality standards and operational definitions
are used
83 Control Quality—The process of monitoring and recording results of executing the quality activities
to assess performance and recommend necessary changes
These processes interact with each other and with processes in other Knowledge Areas as described in
detail in Section 3 and Annex A1
Project Quality Management addresses the management of the project and the deliverables of the project
It applies to all projects regardless of the nature of their deliverables Quality measures and techniques are specific
to the type of deliverables being produced by the project For example the project quality management of software
deliverables may use different approaches and measures from those used when building a nuclear power plant In
either case failure to meet the quality requirements can have serious negative consequences for any or all of the
project’s stakeholders For example
88228 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
• Meeting customer requirements by overworking the project team may result in decreased profits and
increased project risks employee attrition errors or rework
• Meeting project schedule objectives by rushing planned quality inspections may result in undetected
errors decreased profits and increased postimplementation risks
Quality and grade are not the same concepts Quality as a delivered performance or result is the degree to which
a set of inherent characteristics fulfill requirements (ISO 9000) [10] Grade as a design intent is a category assigned
to deliverables having the same functional use but different technical characteristics The project manager and the
project management team are responsible for managing the tradeoffs associated with delivering the required levels
of both quality and grade While a quality level that fails to meet quality requirements is always a problem a low
grade of quality may not be a problem For example
• It may not be a problem if a suitable lowgrade software product (one with a limited number of features)
is of high quality (no obvious defects readable manual) In this example the product would be appropriate
for its general purpose of use
• It may be a problem if a highgrade software product (one with numerous features) is of low quality
(many defects poorly organized user documentation) In essence its highgrade feature set would prove
ineffective andor inefficient due to its low quality
The project management team should determine the appropriate levels of accuracy and precision for use in the
quality management plan Precision is a measure of exactness For example the magnitude for each increment
on the measurement’s number line is the interval that determines the measurement’s precision—the greater the
number of increments the greater the precision Accuracy is an assessment of correctness For example if the
measured value of an item is very close to the true value of the characteristic being measured the measurement
is more accurate An illustration of this concept is the comparison of archery targets Arrows clustered tightly
in one area of the target even if they are not clustered in the bull’seye are considered to have high precision
Targets where the arrows are more spread out but equidistant from the bull’seye are considered to have the same
degree of accuracy Targets where the arrows are both tightly grouped and within the bull’seye are considered to
be both accurate and precise Precise measurements are not necessarily accurate measurements and accurate
measurements are not necessarily precise measurements
The basic approach to project quality management as described in this section is intended to be compatible
with International Organization for Standardization (ISO) quality standards Every project should have a quality
management plan Project teams should follow the quality management plan and should have data to demonstrate
compliance with the plan229©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8
In the context of achieving ISO compatibility modern quality management approaches seek to minimize variation
and to deliver results that meet defined requirements These approaches recognize the importance of
• Customer satisfaction Understanding evaluating defining and managing requirements so that
customer expectations are met This requires a combination of conformance to requirements (to ensure
the project produces what it was created to produce) and fitness for use (the product or service needs to
satisfy the real needs)
• Prevention over inspection Quality should be planned designed and built into—not inspected into the
project’s management or the project’s deliverables The cost of preventing mistakes is generally much
less than the cost of correcting mistakes when they are found by inspection or during usage
• Continuous improvement The PDCA (plandocheckact) cycle is the basis for quality improvement as
defined by Shewhart and modified by Deming In addition quality improvement initiatives such as Total
Quality Management (TQM) Six Sigma and Lean Six Sigma could improve the quality of the project’s
management as well as the quality of the project’s product Commonly used process improvement models
include Malcolm Baldrige Organizational Project Management Maturity Model (OPM3®) and Capability
Maturity Model Integrated (CMMI®)
• Management Responsibility Success requires the participation of all members of the project team
Nevertheless management retains within its responsibility for quality a related responsibility to provide
suitable resources at adequate capacities
• Cost of quality (COQ) Cost of quality refers to the total cost of the conformance work and the
nonconformance work that should be done as a compensatory effort because on the first attempt to
perform that work the potential exists that some portion of the required work effort may be done or has
been done incorrectly The costs for quality work may be incurred throughout the deliverable’s life cycle
For example decisions made by the project team can impact the operational costs associated with using
a completed deliverable Postproject quality costs may be incurred because of product returns warranty
claims and recall campaigns Therefore because of the temporary nature of projects and the potential
benefits that may be derived from reducing the postproject cost of quality sponsoring organizations
may choose to invest in product quality improvement These investments generally are made in the areas
of conformance work that act to prevent defects or act to mitigate the costs of defects by inspecting
out nonconforming units Refer to Figure 82 and Section 8122 Moreover the issues related to post
project COQ should be the concern of program management and portfolio management such that project
program and portfolio management offices should apply appropriate reviews templates and funding
allocations for this purpose230 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
1 Inputs
1 Project management plan
2 Stakeholder register
3 Risk register
4 Requirements documentation
5 Enterprise environmental
factors
6 Organizational process assets
2 Tools & Techniques
1 Costbenefit analysis
2 Cost of quality
3 Seven basic quality tools
4 Benchmarking
5 Design of experiments
6 Statistical sampling
7 Additional quality planning
tools
8 Meetings
3 Outputs
1 Quality management plan
2 Process improvement plan
3 Quality metrics
4 Quality checklists
5 Project documents updates
1 Inputs
1 Quality management plan
2 Process improvement plan
3 Quality metrics
4 Quality control measurements
5 Project documents
2 Tools & Techniques
1 Quality management and
control tools
2 Quality audits
3 Process analysis
3 Outputs
1 Change requests
2 Project management plan
updates
3 Project documents updates
4 Organizational process assets
updates
1 Inputs
1 Project management plan
2 Quality metrics
3 Quality checklists
4 Work performance data
5 Approved change requests
6 Deliverables
7 Project documents
8 Organizational process assets
2 Tools & Techniques
1 Seven basic quality tools
2 Statistical sampling
3 Inspection
4 Approved change requests
review
3 Outputs
1 Quality control measurements
2 Validated changes
3 Validated deliverables
4 Work performance information
5 Change requests
6 Project management plan
updates
7 Project documents updates
8 Organizational process assets
updates
Project Quality
Management Overview
82 Perform Quality
Assurance
81 Plan Quality
Management 83 Control Quality
Figure 81 Project Quality Management Overview231©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8
Monitoring &
Controlling ClosingExecutingPlanningInitiating
Quality
Assurance
Cost of Quality
Control Quality
IPECC
PDCA
Rework
Failure
Validate
Conformance
Preventable
Not Preventable
Initiate Plan
Essential FirstTime Work
Conformance Work
Conformance Work
NonConformance Work
Prevention
Inspection
FixScrapInspection
Execute
Control
Plan Do
Check
Act
Close
Figure 82 Fundamental Relationships of Quality Assurance and Control Quality to the IPECC PDCA Cost
of Quality Models and Project Management Process Groups
81 Plan Quality Management
Plan Quality Management is the process of identifying quality requirements andor standards for the project and
its deliverables and documenting how the project will demonstrate compliance with relevant quality requirements
The key benefit of this process is that it provides guidance and direction on how quality will be managed and
validated throughout the project The inputs tools and techniques and outputs of this process are depicted in
Figure 83 Figure 84 depicts the data flow diagram of the process232 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
Inputs Tools & Techniques Outputs
1 Project management plan
2 Stakeholder register
3 Risk register
4 Requirements
documentation
5 Enterprise environmental
factors
6 Organizational process
assets
1 Costbenefit analysis
2 Cost of quality
3 Seven basic quality tools
4 Benchmarking
5 Design of experiments
6 Statistical sampling
7 Additional quality
planning tools
8 Meetings
1 Quality management plan
2 Process improvement
plan
3 Quality metrics
4 Quality checklists
5 Project documents
updates
Figure 83 Plan Quality Management Inputs Tools & Techniques and Outputs
Project Quality Management
81
Plan
Quality
Management
82
Perform Quality
Assurance
83
Control
Quality
• Project documents
updates
• Quality management
plan
Project
Documents
• Risk register
• Requirements
documentation
• Stakeholder
register
• Project
management
plan
• Enterprise
environmental
factors
• Organizational
process assets
• Process
improvement
plan
• Quality
management
plan
• Quality
metrics
• Quality
checklists
112
Identify
Risks
52
Collect
Requirements
42
Develop Project
Management
Plan
131
Identify
Stakeholders
Enterprise
Organization
112
Identify
Risks
Figure 84 Plan Quality Management Data Flow Diagram233©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8
Quality planning should be performed in parallel with the other planning processes For example proposed
changes in the deliverables to meet identified quality standards may require cost or schedule adjustments and a
detailed risk analysis of the impact to plans
The quality planning techniques discussed here are those used most frequently on projects There are many
others that may be useful on certain projects or in some application areas
811 Plan Quality Management Inputs
8111 Project Management Plan
Described in Section 4231 The project management plan is used to develop the quality management plan
The information used for the development of the quality management plan includes but is not limited to
• Scope baseline The scope baseline (Section 5431) includes
○○ Project scope statement The project scope statement contains the project description major
project deliverables and acceptance criteria The product scope often contains details of
technical issues and other concerns that can affect quality planning and that should have been
identified as a result of the planning processes in Project Scope Management The definition of
acceptance criteria may significantly increase or decrease quality costs and therefore project
costs Satisfying all acceptance criteria that the needs of the sponsor andor customer have
been met
○○ Work breakdown structure (WBS) The WBS identifies the deliverables and the work packages
used to measure project performance
○○ WBS dictionary The WBS dictionary provides detailed information for WBS elements
• Schedule baseline The schedule baseline documents the accepted schedule performance measures
including start and finish dates (Section 6631)
• Cost baseline The cost baseline documents the accepted time interval being used to measure cost
performance (Section 7331)
• Other management plans These plans contribute to the overall project quality and may highlight
actionable areas of concern with regard to the project’s quality234 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8112 Stakeholder Register
Described in Section 13131 The stakeholder register aids in identifying those stakeholders possessing a
particular interest in or having an impact on quality
8113 Risk Register
Described in Section 11231 The risk register contains information on threats and opportunities that may
impact quality requirements
8114 Requirements Documentation
Described in Section 5231 Requirements documentation captures the requirements that the project shall
meet pertaining to stakeholder expectations The components of the requirements documentation include but are
not limited to project (including product) and quality requirements The requirements are used by the project team
to help plan how quality control will be implemented on the project
8115 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that influence the Plan Quality Management
process include but are not limited to
• Governmental agency regulations
• Rules standards and guidelines specific to the application area
• Working or operating conditions of the project or its deliverables that may affect project quality and
• Cultural perceptions that may influence expectations about quality
8116 Organizational Process Assets
Described in Section 214 The organizational process assets that influence the Plan Quality Management
process include but are not limited to
• Organizational quality policies procedures and guidelines The performing organization’s quality policy
as endorsed by senior management sets the organization’s intended direction on implementing its quality
management approach
• Historical databases and
• Lessons learned from previous phases or projects235©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8
812 Plan Quality Management Tools and Techniques
8121 CostBenefit Analysis
The primary benefits of meeting quality requirements include less rework higher productivity lower costs
increased stakeholder satisfaction and increased profitability A costbenefit analysis for each quality activity
compares the cost of the quality step to the expected benefit
8122 Cost of Quality (COQ)
Cost of quality includes all costs incurred over the life of the product by investment in preventing nonconformance
to requirements appraising the product or service for conformance to requirements and failing to meet requirements
(rework) Failure costs are often categorized into internal (found by the project) and external (found by the customer)
Failure costs are also called cost of poor quality Figure 85 provides some examples to consider in each area
Cost of Conformance Cost of Nonconformance
Prevention Costs
(Build a quality product)
• Training
• Document processes
• Equipment
• Time to do it right
Appraisal Costs
(Assess the quality)
• Testing
• Destructive testing loss
• Inspections
Money spent during the project
to avoid failures
Internal Failure Costs
(Failures found by the project)
• Rework
• Scrap
External Failure Costs
(Failures found by the customer)
• Liabilities
• Warranty work
• Lost business
Money spent during and after
the project because of failures
Figure 85 Cost of Quality236 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8123 Seven Basic Quality Tools
The seven basic quality tools also known in the industry as 7QC Tools are used within the context of the PDCA
Cycle to solve qualityrelated problems As conceptually illustrated in Figure 87 the seven basic quality tools are
• Causeandeffect diagrams which are also known as fishbone diagrams or as Ishikawa diagrams The
problem statement placed at the head of the fishbone is used as a starting point to trace the problem’s
source back to its actionable root cause The problem statement typically describes the problem as a gap
to be closed or as an objective to be achieved The causes are found by looking at the problem statement
and asking why until the actionable root cause has been identified or until the reasonable possibilities
on each fishbone have been exhausted Fishbone diagrams often prove useful in linking the undesirable
effects seen as special variation to the assignable cause upon which project teams should implement
corrective actions to eliminate the special variation detected in a control chart
• Flowcharts which are also referred to as process maps because they display the sequence of steps and
the branching possibilities that exist for a process that transforms one or more inputs into one or more
outputs Flowcharts show the activities decision points branching loops parallel paths and the overall
order of processing by mapping the operational details of procedures that exist within a horizontal value
chain of a SIPOC model (Figure 86) Flowcharts may prove useful in understanding and estimating
the cost of quality in a process This is obtained by using the workflow branching logic and associated
relative frequencies to estimate expected monetary value for the conformance and nonconformance
work required to deliver the expected conforming output237©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8Requirements and
Feedback Loop
Requirements and
Feedback Loop
OUTPUTINPUT
PROCESS CUSTOMERSUPPLIER
Suppliers Inputs Process Outputs Customers
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Requirements List Measurements List Requirements List Measurements List
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
NOTE The components of this diagram are flexible and can take any direction depending upon the circumstance
Figure 86 The SIPOC Model
• Checksheets which are also known as tally sheets and may be used as a checklist when gathering data
Checksheets are used to organize facts in a manner that will facilitate the effective collection of useful
data about a potential quality problem They are especially useful for gathering attributes data while
performing inspections to identify defects For example data about the frequencies or consequences of
defects collected in checksheets are often displayed using Pareto diagrams
• Pareto diagrams exist as a special form of vertical bar chart and are used to identify the vital few sources
that are responsible for causing most of a problem’s effects The categories shown on the horizontal
axis exist as a valid probability distribution that accounts for 100 of the possible observations The
relative frequencies of each specified cause listed on the horizontal axis decrease in magnitude until the
default source named other accounts for any nonspecified causes Typically the Pareto diagram will be
organized into categories that measure either frequencies or consequences238 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
• Histograms are a special form of bar chart and are used to describe the central tendency dispersion and
shape of a statistical distribution Unlike the control chart the histogram does not consider the influence
of time on the variation that exists within a distribution
• Control charts are used to determine whether or not a process is stable or has predictable performance
Upper and lower specification limits are based on requirements of the agreement They reflect
the maximum and minimum values allowed There may be penalties associated with exceeding the
specification limits Upper and lower control limits are different from specification limits The control
limits are determined using standard statistical calculations and principles to ultimately establish the
natural capability for a stable process The project manager and appropriate stakeholders may use the
statistically calculated control limits to identify the points at which corrective action will be taken to
prevent unnatural performance The corrective action typically seeks to maintain the natural stability of a
stable and capable process For repetitive processes the control limits are generally set at ±3 s around
a process mean that has been set at 0 s A process is considered out of control when (1) a data point
exceeds a control limit (2) seven consecutive plot points are above the mean or (3) seven consecutive
plot points are below the mean Control charts can be used to monitor various types of output variables
Although used most frequently to track repetitive activities required for producing manufactured lots
control charts may also be used to monitor cost and schedule variances volume and frequency of scope
changes or other management results to help determine if the project management processes are in
control
• Scatter diagrams plot ordered pairs (X Y) and are sometimes called correlation charts because they seek
to explain a change in the dependent variable Y in relationship to a change observed in the corresponding
independent variable X The direction of correlation may be proportional (positive correlation) inverse
(negative correlation) or a pattern of correlation may not exist (zero correlation) If correlation can be
established a regression line can be calculated and used to estimate how a change to the independent
variable will influence the value of the dependent variable239©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
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Cause & Effect Diagram Flowcharts Checksheets
Pareto Diagrams Histograms Control Charts
Scatter Diagrams
Figure 87 Storyboard Illustrating a Conceptual Example of Each of the Seven Basic Quality Tools
8124 Benchmarking
Benchmarking involves comparing actual or planned project practices to those of comparable projects to identify
best practices generate ideas for improvement and provide a basis for measuring performance
Benchmarked projects may exist within the performing organization or outside of it or can be within the same
application area Benchmarking allows for analogies from projects in a different application area to be made
8125 Design of Experiments
Design of experiments (DOE) is a statistical method for identifying which factors may influence specific variables
of a product or process under development or in production DOE may be used during the Plan Quality Management
process to determine the number and type of tests and their impact on cost of quality240 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
DOE also plays a role in optimizing products or processes DOE is used to reduce the sensitivity of product
performance to sources of variations caused by environmental or manufacturing differences One important aspect
of this technique is that it provides a statistical framework for systematically changing all of the important factors
rather than changing the factors one at a time Analysis of the experimental data should provide the optimal
conditions for the product or process highlight the factors that influence the results and reveal the presence of
interactions and synergy among the factors For example automotive designers use this technique to determine
which combination of suspension and tires will produce the most desirable ride characteristics at a reasonable cost
8126 Statistical Sampling
Statistical sampling involves choosing part of a population of interest for inspection (for example selecting ten
engineering drawings at random from a list of seventyfive) Sample frequency and sizes should be determined during
the Plan Quality Management process so the cost of quality will include the number of tests expected scrap etc
There is a substantial body of knowledge on statistical sampling In some application areas it may be necessary
for the project management team to be familiar with a variety of sampling techniques to assure the sample selected
represents the population of interest
8127 Additional Quality Planning Tools
Other quality planning tools are used to define the quality requirements and to plan effective quality management
activities These include but are not limited to
• Brainstorming This technique is used to generate ideas (defined in Section 11222)
• Force field analysis These are diagrams of the forces for and against change
• Nominal group technique This technique is used to allow ideas to be brainstormed in small groups and
then reviewed by a larger group
• Quality management and control tools These tools are used to link and sequence the activities
identified (defined in Section 8221)241©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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8128 Meetings
Project teams may hold planning meetings to develop the quality management plan Attendees at these
meetings may include the project manager the project sponsor selected project team members selected
stakeholders anyone with responsibility for Project Quality Management activities namely Plan Quality
Management Perform Quality Assurance or Control Quality and others as needed
813 Plan Quality Management Outputs
8131 Quality Management Plan
The quality management plan is a component of the project management plan that describes how the
organization’s quality policies will be implemented It describes how the project management team plans to meet
the quality requirements set for the project
The quality management plan may be formal or informal detailed or broadly framed The style and detail of the
quality management plan are determined by the requirements of the project The quality management plan should
be reviewed early in the project to ensure that decisions are based on accurate information The benefits of this
review can include a sharper focus on the project’s value proposition and reductions in costs and in the frequency
of schedule overruns that were caused by rework
8132 Process Improvement Plan
The process improvement plan is a subsidiary or component of the project management plan (Section 4231)
The process improvement plan details the steps for analyzing project management and product development
processes to identify activities that enhance their value Areas to consider include
• Process boundaries Describe the purpose of the process the start and end of the process its inputs
and outputs the process owner and the stakeholders of the process
• Process configuration Provides a graphic depiction of processes with interfaces identified used to
facilitate analysis
• Process metrics Along with control limits allows analysis of process efficiency
• Targets for improved performance Guide the process improvement activities242 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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8133 Quality Metrics
A quality metric specifically describes a project or product attribute and how the control quality process will
measure it A measurement is an actual value The tolerance defines the allowable variations to the metric For
example if the quality objective is to stay within the approved budget by ± 10 the specific quality metric is
used to measure the cost of every deliverable and determine the percent variance from the approved budget for
that deliverable Quality metrics are used in the perform quality assurance and control quality processes Some
examples of quality metrics include ontime performance cost control defect frequency failure rate availability
reliability and test coverage
8134 Quality Checklists
A checklist is a structured tool usually componentspecific used to verify that a set of required steps has
been performed Based on the project’s requirements and practices checklists may be simple or complex Many
organizations have standardized checklists available to ensure consistency in frequently performed tasks In some
application areas checklists are also available from professional associations or commercial service providers
Quality checklists should incorporate the acceptance criteria included in the scope baseline
8135 Project Documents Updates
Project documents that may be updated include but are not limited to
• Stakeholder register (Section 13131) and
• Responsibility assignment matrix (Section 9121) and
• WBS and WBS Dictionary
82 Perform Quality Assurance
Perform Quality Assurance is the process of auditing the quality requirements and the results from quality
control measurements to ensure that appropriate quality standards and operational definitions are used The key
benefit of this process is that it facilitates the improvement of quality processes The inputs tools and techniques
and outputs of this process are depicted in Figure 88 Figure 89 depicts the data flow diagram of the process243©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8
Inputs Tools & Techniques Outputs
1 Quality management plan
2 Process improvement
plan
3 Quality metrics
4 Quality control
measurements
5 Project documents
1 Quality management and
control tools
2 Quality audits
3 Process analysis
1 Change requests
2 Project management plan
updates
3 Project documents
updates
4 Organizational process
assets updates
Figure 88 Perform Quality Assurance Inputs Tools & Techniques and Outputs
Project Quality Management
82
Perform Quality
Assurance
81
Plan Quality
Management
83
Control
Quality
• Project
management
plan updates
• Quality control
measurements
• Quality
management plan
• Process
improvement plan
• Quality metrics
• Change requests
• Project documents
updates
• Project documents
• Organizational process assets updates
Project
Documents
Project
Documents
45
Perform
Integrated
Change Control
42
Develop Project
Management
Plan
Enterprise
Organization
Figure 89 Perform Quality Assurance Data Flow Diagram
The quality assurance process implements a set of planned and systematic acts and processes defined
within the project’s quality management plan Quality assurance seeks to build confidence that a future output
or an unfinished output also known as work in progress will be completed in a manner that meets the specified
requirements and expectations Quality assurance contributes to the state of being certain about quality by
preventing defects through the planning processes or by inspecting out defects during the workinprogress
stage of implementation Perform Quality Assurance is an execution process that uses data created during Plan
Quality Management (Section 81) and Control Quality (Section 83) processes244 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
In project management the prevention and inspection aspects of quality assurance should have a demonstrable
influence on the project Quality assurance work will fall under the conformance work category in the cost of quality
framework
A quality assurance department or similar organization often oversees quality assurance activities Quality
assurance support regardless of the unit’s title may be provided to the project team the management of the
performing organization the customer or sponsor as well as other stakeholders not actively involved in the work
of the project
Perform Quality Assurance also provides an umbrella for continuous process improvement which is an iterative
means for improving the quality of all processes Continuous process improvement reduces waste and eliminates
activities that do not add value This allows processes to operate at increased levels of efficiency and effectiveness
821 Perform Quality Assurance Inputs
8211 Quality Management Plan
Described in Section 8131 The quality management plan describes the quality assurance and continuous
process improvement approaches for the project
8212 Process Improvement Plan
Described in Section 8132 The project’s quality assurance activities should be supportive of and consistent
with the performing organization’s process improvement plans
8213 Quality Metrics
Described in Section 8133 The quality metrics provide the attributes that should be measured and the
allowable variations
8214 Quality Control Measurements
Described in Section 8331 Quality control measurements are the results of control quality activities They are
used to analyze and evaluate the quality of the processes of the project against the standards of the performing
organization or the requirements specified Quality control measurements can also compare the processes used to
create the measurements and validate actual measurements to determine their level of correctness245©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
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8215 Project Documents
Project documents may influence quality assurance work and should be monitored within the context of a
system for configuration management
822 Perform Quality Assurance Tools and Techniques
8221 Quality Management and Control Tools
The Perform Quality Assurance process uses the tools and techniques of the Plan Quality Management and
Control Quality processes In addition other tools that are available include (see also Figure 810)
• Affinity diagrams The affinity diagram is similar to mindmapping techniques in that they are used
to generate ideas that can be linked to form organized patterns of thought about a problem In project
management the creation of the WBS may be enhanced by using the affinity diagram to give structure
to the decomposition of scope
• Process decision program charts (PDPC) Used to understand a goal in relation to the steps for getting
to the goal The PDPC is useful as a method for contingency planning because it aids teams in anticipating
intermediate steps that could derail achievement of the goal
• Interrelationship digraphs An adaptation of relationship diagrams The interrelationship digraphs
provide a process for creative problem solving in moderately complex scenarios that possess intertwined
logical relationships for up to 50 relevant items The interrelationship digraph may be developed from
data generated in other tools such as the affinity diagram the tree diagram or the fishbone diagram
• Tree diagrams Also known as systematic diagrams and may be used to represent decomposition
hierarchies such as the WBS RBS (risk breakdown structure) and OBS (organizational breakdown
structure) In project management tree diagrams are useful in visualizing the parenttochild relationships
in any decomposition hierarchy that uses a systematic set of rules that define a nesting relationship Tree
diagrams can be depicted horizontally (such as a risk breakdown structure) or vertically (such as a team
hierarchy or OBS) Because tree diagrams permit the creation of nested branches that terminate into a
single decision point they are useful as decision trees for establishing an expected value for a limited
number of dependent relationships that have been diagramed systematically246 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Prioritization matrices Identify the key issues and the suitable alternatives to be prioritized as a set of
decisions for implementation Criteria are prioritized and weighted before being applied to all available
alternatives to obtain a mathematical score that ranks the options
• Activity network diagrams Previously known as arrow diagrams They include both the AOA (Activity
on Arrow) and most commonly used AON (Activity on Node) formats of a network diagram Activity
network diagrams are used with project scheduling methodologies such as program evaluation and
review technique (PERT) critical path method (CPM) and precedence diagramming method (PDM)
• Matrix diagrams A quality management and control tool used to perform data analysis within the
organizational structure created in the matrix The matrix diagram seeks to show the strength of
relationships between factors causes and objectives that exist between the rows and columns that form
the matrix
Affinity Diagram PDPC Interrelationship Digraph
Tree Diagrams Prioritization Matrices Network Diagrams
Matrix Diagrams
Figure 810 Storyboard Illustrating the Seven Quality Management and Control Tools247©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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8222 Quality Audits
A quality audit is a structured independent process to determine if project activities comply with organizational
and project policies processes and procedures The objectives of a quality audit may include
• Identify all good and best practices being implemented
• Identify all nonconformity gaps and shortcomings
• Share good practices introduced or implemented in similar projects in the organization andor industry
• Proactively offer assistance in a positive manner to improve implementation of processes to help the
team raise productivity and
• Highlight contributions of each audit in the lessons learned repository of the organization
The subsequent effort to correct any deficiencies should result in a reduced cost of quality and an increase in
sponsor or customer acceptance of the project’s product Quality audits may be scheduled or random and may be
conducted by internal or external auditors
Quality audits can confirm the implementation of approved change requests including updates corrective
actions defect repairs and preventive actions
8223 Process Analysis
Process analysis follows the steps outlined in the process improvement plan to identify needed improvements
This analysis also examines problems experienced constraints experienced and nonvalueadded activities
identified during process operation Process analysis includes root cause analysis—a specific technique used to
identify a problem discover the underlying causes that lead to it and develop preventive actions
823 Perform Quality Assurance Outputs
8231 Change Requests
Change requests are created and used as input into the Perform Integrated Change Control process (Section 45)
to allow full consideration of the recommended improvements Change requests are used to take corrective action
preventive action or to perform defect repair248 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8232 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to
• Quality management plan (Section 8131)
• Scope management plan (Section 5131)
• Schedule management plan (Section 6131) and
• Cost management plan (7131)
8233 Project Documents Updates
Project documents that may be updated include but are not limited to
• Quality audit reports
• Training plans and
• Process documentation
8234 Organizational Process Assets Updates
Elements of the organizational process assets that may be updated include but are not limited to the
organization’s quality standards and the quality management system
83 Control Quality
Control Quality is the process of monitoring and recording results of executing the quality activities to assess
performance and recommend necessary changes The key benefits of this process include (1) identifying the
causes of poor process or product quality and recommending andor taking action to eliminate them and (2)
validating that project deliverables and work meet the requirements specified by key stakeholders necessary for
final acceptance The inputs tools and techniques and outputs of this process are depicted in Figure 811 Figure
812 depicts the data flow diagram of the process249©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8
Inputs Tools & Techniques Outputs
1 Project management plan
2 Quality metrics
3 Quality checklists
4 Work performance data
5 Approved change
requests
6 Deliverables
7 Project documents
8 Organizational process
assets
1 Seven basic quality tools
2 Statistical sampling
3 Inspection
4 Approved change
requests review
1 Quality control
measurements
2 Validated changes
3 Verified deliverables
4 Work performance
information
5 Change requests
6 Project management plan
updates
7 Project documents
updates
8 Organizational process
assets updates
Figure 811 Control Quality Inputs Tools & Techniques and Outputs
Project Quality Management
83
Control
Quality
82
Perform Quality
Assurance
81
Plan Quality
Management
• Project
documents
• Approved change
requests
• Deliverables
• Work performance
data
• Project
management
plan
• Project
management
plan updates
• Quality metrics
• Quality checklists
• Organizational
process assets
• Organizational
process assets
updates
• Quality
control
measurements
42
Develop Project
Management
Plan
45
Perform
Integrated
Change Control
43
Direct and
Manage Project
Work
42
Develop Project
Management
Plan
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
55
Validate
Scope
Enterprise
Organization
Project
Documents
Enterprise
Organization
Project
Documents
• Project
documents
updates
• Verified
deliverables
• Change
requests
• Validated
changes
• Work
performance
Information
Figure 812 Control Quality Data Flow Diagram250 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
The Control Quality process uses a set of operational techniques and tasks to verify that the delivered output
will meet the requirements Quality assurance should be used during the project’s planning and executing phases
to provide confidence that the stakeholder’s requirements will be met and quality control should be used during
the project executing and closing phases to formally demonstrate with reliable data that the sponsor andor
customer’s acceptance criteria have been met
The project management team may have a working knowledge of statistical control processes to evaluate data
contained in the control quality outputs Among other subjects the team may find it useful to know the differences
between the following pairs of terms
• Prevention (keeping errors out of the process) and inspection (keeping errors out of the hands of the
customer)
• Attribute sampling (the result either conforms or does not conform) and variables sampling (the result is
rated on a continuous scale that measures the degree of conformity)
• Tolerances (specified range of acceptable results) and control limits (that identify the boundaries of
common variation in a statistically stable process or process performance)
831 Control Quality Inputs
8311 Project Management Plan
Described in Section 8131 The project management plan contains the quality management plan which is
used to control quality The quality management plan describes how quality control will be performed within the
project
8312 Quality Metrics
Described in Section 4231 A quality metric describes a project or product attribute and how it will be measured
Some examples of quality metrics include function points mean time between failure (MTBF) and mean time to
repair (MTTR)
8313 Quality Checklists
Described in Section 8134 Quality checklists are structured lists that help to verify that the work of the project
and its deliverables fulfill a set of requirements251©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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8314 Work Performance Data
Described in Section 4332 Work performance data can include
• Planned vs actual technical performance
• Planned vs actual schedule performance and
• Planned vs actual cost performance
8315 Approved Change Requests
As part of the Perform Integrated Change Control process a change log update indicates that some changes are
approved and some are not Approved change requests may include modifications such as defect repairs revised
work methods and revised schedule The timely implementation of approved changes needs to be verified
8316 Deliverables
Described in Section 4331 A deliverable is any unique and verifiable product result or capability that results
in a validated deliverable required by the project
8317 Project Documents
Project documents may include but are not limited to
• Agreements
• Quality audit reports and change logs supported with corrective action plans
• Training plans and assessments of effectiveness and
• Process documentation such as those obtained using either the seven basic quality tools or the quality
management and control tools shown in Figures 87 and 810
8318 Organizational Process Assets
Described in Section 214 The organizational process assets that influence the Control Quality process include
but are not limited to
• The organization’s quality standards and policies
• Standard work guidelines and
• Issue and defect reporting procedures and communication policies252 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
832 Control Quality Tools and Techniques
8321 Seven Basic Quality Tools
Described in Section 8123 The seven basic quality tools are illustrated conceptually in Figure 87
8322 Statistical Sampling
Described in Section 8126 Samples are selected and tested as defined in the quality management plan
8323 Inspection
An inspection is the examination of a work product to determine if it conforms to documented standards The
results of an inspection generally include measurements and may be conducted at any level For example the
results of a single activity can be inspected or the final product of the project can be inspected Inspections may
be called reviews peer reviews audits or walkthroughs In some application areas these terms have narrow and
specific meanings Inspections also are used to validate defect repairs
8324 Approved Change Requests Review
All approved change requests should be reviewed to verify that they were implemented as approved
833 Control Quality Outputs
8331 Quality Control Measurements
Quality control measurements are the documented results of control quality activities They should be captured
in the format that was specified through the Plan Quality Management process (Section 81)
8332 Validated Changes
Any changed or repaired items are inspected and will be either accepted or rejected before notification of the
decision is provided Rejected items may require rework253©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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8333 Verified Deliverables
A goal of the Control Quality process is to determine the correctness of deliverables The results of performing
the Control Quality process are verified deliverables Verified deliverables are an input to Validate Scope (5514)
for formalized acceptance
8334 Work Performance Information
Work performance information is the performance data collected from various controlling processes analyzed
in context and integrated based on relationships across areas Examples include information about the project
requirements fulfillment such as causes for rejections rework required or the need for process adjustments
8335 Change Requests
If the recommended corrective or preventive actions or a defect repair requires a change to the project
management plan a change request (Section 4431) should be initiated in accordance with the defined Perform
Integrated Change Control (45) process
8336 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to
• Quality management plan (Section 8131) and
• Process improvement plan (Section 8132)
8337 Project Documents Updates
Project documents that may be updated include but are not limited to
• Quality standards
• Agreements
• Quality audit reports and change logs supported with corrective action plans
• Training plans and assessments of effectiveness and
• Process documentation such as information obtained using the seven basic quality tools or the quality
management and control tools254 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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8338 Organizational Process Assets Updates
Elements of the organizational process assets that may be updated include but are not limited to
• Completed checklists When checklists are used the completed checklists become part of the project
documents and organizational process assets (Section 4115)
• Lessons learned documentation The causes of variances the reasoning behind the corrective action
chosen and other types of lessons learned from control quality are documented so they become part of
the historical database for both the project and the performing organization255©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
9
PROJECT HUMAN RESOURCE MANAGEMENT
Project Human Resource Management includes the processes that organize manage and lead the project
team The project team is comprised of the people with assigned roles and responsibilities for completing the
project Project team members may have varied skill sets may be assigned full or parttime and may be added or
removed from the team as the project progresses Project team members may also be referred to as the project’s
staff Although specific roles and responsibilities for the project team members are assigned the involvement of
all team members in project planning and decision making is beneficial Participation of team members during
planning adds their expertise to the process and strengthens their commitment to the project
Figure 91 provides an overview of the Project Human Resource Management processes which are as follows
91 Plan Human Resource Management—The process of identifying and documenting project roles
responsibilities required skills reporting relationships and creating a staffing management plan
92 Acquire Project Team—The process of confirming human resource availability and obtaining the
team necessary to complete project activities
93 Develop Project Team—The process of improving competencies team member interaction and
overall team environment to enhance project performance
94 Manage Project Team—The process of tracking team member performance providing feedback
resolving issues and managing changes to optimize project performance
99256 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
These processes interact with each other and with processes in other Knowledge Areas as described in detail
in Section 3 and Annex A1
As a result of these interactions additional planning may be required throughout the project For example
• After initial team members create a work breakdown structure additional team members may need to
be added to the team
• As additional team members are added to the team their experience levels or lack thereof could
decrease or increase project risk creating the need for additional risk planning
• When activity durations are estimated budgeted scoped or planned prior to identifying all project team
members and their competency levels the activity durations may change
The project management team is a subset of the project team and is responsible for the project management
and leadership activities such as initiating planning executing monitoring controlling and closing the various
project phases This group can also be referred to as the core executive or leadership team For smaller projects
the project management responsibilities may be shared by the entire team or administered solely by the project
manager The project sponsor works with the project management team typically assisting with matters such as
project funding clarifying scope monitoring progress and influencing stakeholders in both the requesting and
performing organization for the project benefit
Managing and leading the project team includes but is not limited to
• Influencing the project team The project manager needs to be aware of and influence when possible
human resource factors that may impact the project These factors includes team environment
geographical locations of team members communications among stakeholders internal and external
politics cultural issues organizational uniqueness and others factors that may alter project performance
• Professional and ethical behavior The project management team should be aware of subscribe to and
ensure that all team members follow professional and ethical behavior257©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
9
1 Inputs
1 Project management plan
2 Activity resource
requirements
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Organization charts and
position descriptions
2 Networking
3 Organizational theory
4 Expert judgment
5 Meetings
3 Outputs
1 Human resource management
plan
1 Inputs
1 Human resource management
plan
2 Enterprise environmental
factors
3 Organizational process assets
2 Tools & Techniques
1 Preassignment
2 Negotiation
3 Acquisition
4 Virtual teams
5 Multicriteria decision
analysis
3 Outputs
1 Project staff assignments
2 Resource calendars
3 Project management plan
updates
1 Inputs
1 Human resource management
plan
2 Project staff assignments
3 Resource calendars
2 Tools & Techniques
1 Interpersonal skills
2 Training
3 Teambuilding activities
4 Ground rules
5 Colocation
6 Recognition and rewards
7 Personnel assessment tools
3 Outputs
1 Team performance
assessments
2 Enterprise environmental
factors updates
1 Inputs
1 Human resource management
plan
2 Project staff assignments
3 Team performance
assessments
4 Issue log
5 Work performance reports
6 Organizational process assets
2 Tools & Techniques
1 Observation and conversation
2 Project performance
appraisals
3 Conflict management
4 Interpersonal skills
3 Outputs
1 Change requests
2 Project management plan
updates
3 Project documents updates
4 Enterprise environmental
factors updates
5 Organizational process assets
updates
Project Human Resource
Management Overview
92 Acquire Project Team91 Plan Human
Resource Management 93 Develop Project Team
94 Manage Project Team
Figure 91 Project Human Resource Management Overview258 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
91 Plan Human resource Management
Plan Human Resource Management is the process of identifying and documenting project roles responsibilities
required skills reporting relationships and creating a staffing management plan The key benefit of this process
is that it establishes project roles and responsibilities project organization charts and the staffing management
plan including the timetable for staff acquisition and release The inputs tools and techniques and outputs of this
process are depicted in Figure 92 Figure 93 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Activity resource
requirements
3 Enterprise environmental
factors
4 Organizational process
assets
1 Organization charts and
position descriptions
2 Networking
3 Organizational theory
4 Expert judgment
5 Meetings
1 Human resource
management plan
Figure 92 Plan Human resource Management Inputs tools & techniques and outputs
Project Human Resource Management
94
Manage
Project Team
93
Develop
Project Team
92
Acquire
Project Team
• Human resource
management plan
• Organizational
process assets
• Enterprise
environmental
factors 72
Estimate
Costs
112
Identify
Risks
91
Plan Human
Resource
Management
42
Develop Project
Management
Plan
64
Estimate
Activity
Resources
• Project management plan
• Activity resource
requirements
Enterprise
Organization
Figure 93 Plan Human resource Management data Flow diagram259©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
9
Human resource planning is used to determine and identify human resources with the necessary skills required
for project success The human resource management plan describes how the roles and responsibilities reporting
relationships and staffing management will be addressed and structured within a project It also contains the
staffing management plan including timetables for staff acquisition and release identification of training needs
teambuilding strategies plans for recognition and rewards programs compliance considerations safety issues
and the impact of the staffing management plan on the organization
Effective human resource planning should consider and plan for the availability of or competition for scarce
resources Project roles can be designated for teams or team members Those teams or team members can
be from inside or outside the organization performing the project Other projects may be competing for human
resources with the same competencies or skill sets Given these factors project costs schedules risks quality and
other project areas may be significantly affected
911 Plan Human Resource Management Inputs
9111 Project Management Plan
Described in Section 4231 The project management plan is used to develop the human resource management
plan as described in Section 9131 The information used for the development of the human resource management
plan includes but is not limited to
• The project life cycle and the processes that will be applied to each phase
• How work will be executed to accomplish the project objectives
• A change management plan that documents how changes will be monitored and controlled
• A configuration management plan that documents how configuration management will be performed
• How integrity of the project baselines will be maintained and
• Needs and methods of communication among stakeholders260 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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9112 Activity Resource Requirements
Described in Section 6431 Human resource planning uses activity resource requirements to determine the
human resource needs for the project The preliminary requirements regarding the required project team members
and their competencies are progressively elaborated as part of the Plan Human Resource Management process
9113 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Plan Human Resource
Management process include but are not limited to
• Organizational culture and structure
• Existing human resources
• Geographical dispersion of team members
• Personnel administration policies and
• Marketplace conditions
9114 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Plan Human Resource
Management process include but are not limited to
• Organizational standard processes policies and role descriptions
• Templates for organizational charts and position descriptions
• Lessons learned on organizational structures that have worked in previous projects and
• Escalation procedures for handling issues within the team and within the performing organization261©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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912 Plan Human Resource Management Tools and Techniques
9121 Organization Charts and Position Descriptions
Various formats exist to document team member roles and responsibilities Most of the formats fall into one of
three types (Figure 94) hierarchical matrix and textoriented Additionally some project assignments are listed
in subsidiary plans such as the risk quality or communications management plans Regardless of the method
utilized the objective is to ensure that each work package has an unambiguous owner and that all team members
have a clear understanding of their roles and responsibilities For example a hierarchical format may be used to
represent highlevel roles while a textbased format may be better suited to document the detailed responsibilities
RAM Role
Responsibilities
Authority
PM
Organization Chart
(hierarchical)
Responsibility Chart
(matrix)
Role Description
(text)
Figure 94 Roles and Responsibility Definition Formats
• Hierarchicaltype charts The traditional organization chart structure can be used to show positions and
relationships in a graphical topdown format Work breakdown structures (WBS) designed to show how
project deliverables are broken down into work packages provide a way of showing highlevel areas of
responsibility While the WBS shows a breakdown of project deliverables the organizational breakdown
structure (OBS) is arranged according to an organization’s existing departments units or teams with the
project activities or work packages listed under each department An operational department such as
information technology or purchasing can see all of its project responsibilities by looking at its portion of
the OBS The resource breakdown structure (RBS) is a hierarchical list of resources related by category
and resource type that is used to facilitate planning and controlling of project work Each descending
(lower) level represents an increasingly detailed description of the resource until small enough to be used
in conjunction with the work breakdown structure (WBS) to allow the work to be planned monitored and
controlled The resource breakdown structure is helpful in tracking project costs and can be aligned with
the organization’s accounting system It can contain resource categories other than human resources262 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Matrixbased charts A responsibility assignment matrix (RAM) is a grid that shows the project
resources assigned to each work package It is used to illustrate the connections between work
packages or activities and project team members On larger projects RAMs can be developed
at various levels For example a highlevel RAM can define what a project team group or unit is
responsible for within each component of the WBS while lowerlevel RAMs are used within the group
to designate roles responsibilities and levels of authority for specific activities The matrix format
shows all activities associated with one person and all people associated with one activity This also
ensures that there is only one person accountable for any one task to avoid confusion of responsibility
One example of a RAM is a RACI (responsible accountable consult and inform) chart shown in
Figure 95 The sample chart shows the work to be done in the left column as activities The assigned
resources can be shown as individuals or groups The project manager can select other options such
as lead and resource designations or others as appropriate for the project A RACI chart is a useful
tool to use when the team consists of internal and external resources in order to ensure clear divisions
of roles and expectations
RACI Chart Person
Activity
Create charter
Collect
requirements
Submit change
request
Develop test plan
Ann Ben Carlos Dina Ed
A
I
R
R Responsible A Accountable C Consult I Inform
C
CC
A
A
AI
II
I
I
C
R
R
R
IR
Figure 95 RACI Matrix
• Textoriented formats Team member responsibilities that require detailed descriptions can be
specified in textoriented formats Usually in outline form the documents provide information such as
responsibilities authority competencies and qualifications The documents are known by various names
including position descriptions and roleresponsibilityauthority forms These documents can be used as
templates for future projects especially when the information is updated throughout the current project
by applying lessons learned263©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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9
9122 Networking
Networking is the formal and informal interaction with others in an organization industry or professional
environment It is a constructive way to understand political and interpersonal factors that will impact the
effectiveness of various staffing management options Human resource management benefits from successful
networking by improving knowledge of and access to human resource assets such as strong competencies
specialized experience and external partnership opportunities Examples of human resources networking activities
include proactive correspondence luncheon meetings informal conversations including meetings and events
trade conferences and symposia Networking can be a useful technique at the beginning of a project It can also
be an effective way to enhance project management professional development during the project and after the
project ends
9123 Organizational Theory
Organizational theory provides information regarding the way in which people teams and organizational
units behave Effective use of common themes identified in organizational theory can shorten the amount of time
cost and effort needed to create the Plan Human Resource Management process outputs and improve planning
efficiency It is important to recognize that different organizational structures have different individual response
individual performance and personal relationship characteristics Also applicable organizational theories may
recommend exercising a flexible leadership style that adapts to the changes in a team’s maturity level throughout
the project life cycle
9124 Expert Judgment
When developing the human resource management plan expert judgment is used to
• List the preliminary requirements for the required skills
• Assess the roles required for the project based on standardized role descriptions within the organization
• Determine the preliminary effort level and number of resources needed to meet project objectives
• Determine reporting relationships needed based on the organizational culture
• Provide guidelines on lead time required for staffing based on lessons learned and market conditions
• Identify risks associated with staff acquisition retention and release plans and
• Identify and recommend programs for complying with applicable government and union contracts264 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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9125 Meetings
When planning human resource management of the project the project management team will hold planning
meetings These meetings leverage a combination of other tools and techniques to allow for all project management
team members to reach consensus on the human resource management plan
913 Plan Human Resource Management Outputs
9131 Human Resource Management Plan
The human resource management plan a part of the project management plan provides guidance on how
project human resources should be defined staffed managed and eventually released The human resource
management plan and any subsequent revisions are also inputs into the Develop Project Management Plan process
The human resource management plan includes but is not limited to the following
• Roles and responsibilities The following should be addressed when listing the roles and responsibilities
needed to complete a project
○○ Role The function assumed by or assigned to a person in the project Examples of project roles
are civil engineer business analyst and testing coordinator Role clarity concerning authority
responsibilities and boundaries should also be documented
○○ Authority The right to apply project resources make decisions sign approvals accept
deliverables and influence others to carry out the work of the project Examples of decisions
that need clear authority include the selection of a method for completing an activity quality
acceptance and how to respond to project variances Team members operate best when their
individual levels of authority match their individual responsibilities
○○ Responsibility The assigned duties and work that a project team member is expected to perform
in order to complete the project’s activities
○○ Competency The skill and capacity required to complete assigned activities within the project
constraints If project team members do not possess required competencies performance can
be jeopardized When such mismatches are identified proactive responses such as training
hiring schedule changes or scope changes are initiated265©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Project organization charts A project organization chart is a graphic display of project team members
and their reporting relationships It can be formal or informal highly detailed or broadly framed based on
the needs of the project For example the project organization chart for a 3000person disaster response
team will have greater detail than a project organization chart for an internal twentyperson project
• Staffing management plan The staffing management plan is a component of the human resource
management plan that describes when and how project team members will be acquired and how long
they will be needed It describes how human resource requirements will be met The staffing management
plan can be formal or informal highly detailed or broadly framed depending upon the needs of the
project The plan is updated continually during the project to direct ongoing team member acquisition and
development actions Information in the staffing management plan varies by application area and project
size but items to consider include
○○ Staff acquisition A number of questions arise when planning the acquisition of project team
members For example whether the human resources come from within the organization or
from external contracted sources whether the team members need to work in a central location
or may work from distant locations costs associated with each level of expertise needed for
the project and level of assistance that the organization’s human resource department and
functional managers are able to provide to the project management team
○○ Resource calendars Calendars that identify the working days and shifts on which each specific
resource is available The staffing management plan describes necessary time frames for
project team members either individually or collectively as well as when acquisition activities
such as recruiting should start One tool for charting human resources is a resource histogram
used by the project management team as a means of providing a visual representation or
resources allocation to all interested parties This chart illustrates the number of hours a person
department or entire project team that will be needed each week or month over the course
of the project The chart can include a horizontal line that represents the maximum number of
hours available from a particular resource Bars that extend beyond the maximum available
hours identify the need for a resource optimization strategy (Section 6624) such as adding
more resources or modifying the schedule An example of a resource histogram is illustrated in
Figure 96266 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
300
275
250
225
200
175
150
125
100
75
50
25
0
Jan Feb Mar Apr May
91623306132027613202731017241 81522
Staff Hours for Senior Designers
40
Figure 96 Illustrative Resource Histogram
○○ Staff release plan Determining the method and timing of releasing team members benefits both
the project and team members When team members are released from a project the costs
associated with those resources are no longer charged to the project thus reducing project
costs Morale is improved when smooth transitions to upcoming projects are already planned A
staff release plan also helps mitigate human resource risks that may occur during or at the end
of a project
○○ Training needs If it is expected that the team members to be assigned will not have the required
competencies a training plan can be developed as part of the project The plan can also include
ways to help team members obtain certifications that would support their ability to benefit the
project
○○ Recognition and rewards Clear criteria for rewards and a planned system for their use help
promote and reinforce desired behaviors To be effective recognition and rewards should be
based on activities and performance under a person’s control For example a team member who
is to be rewarded for meeting cost objectives should have an appropriate level of control over
decisions that affect expenses Creating a plan with established times for distribution of rewards
ensures that recognition takes place and is not forgotten Recognition and rewards are part of
the Develop Project Team process (Section 93)267©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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○○ Compliance The staffing management plan can include strategies for complying with applicable
government regulations union contracts and other established human resource policies
○○ Safety Policies and procedures that protect team members from safety hazards can be included
in the staffing management plan as well as in the risk register
92 Acquire Project Team
Acquire Project Team is the process of confirming human resource availability and obtaining the team necessary
to complete project activities The key benefit of this process consists of outlining and guiding the team selection
and responsibility assignment to obtain a successful team The inputs tools and techniques and outputs of this
process are depicted in Figure 97 Figure 98 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Human resource
management plan
2 Enterprise environmental
factors
3 Organizational process
assets
1 Preassignment
2 Negotiation
3 Acquisition
4 Virtual teams
5 Multicriteria decision
analysis
1 Project staff assignments
2 Resource calendars
3 Project management plan
updates
Figure 97 Acquire Project Team Inputs Tools & Techniques and Outputs268 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
Project Human Resource Management
92
Acquire
Project Team
91
Plan Human
Resource
Management
93
Develop Project
Team
94
Manage
Project Team
• Organizational
process assets
• Enterprise
environmental
factors
• Human resource
management plan
• Resource
calendars
• Project staff
assignments
• Project
management
plan updates
65
Estimate
Activity
Durations
64
Estimate
Activity
Resources
42
Develop Project
Management
Plan
66
Develop
Schedule
73
Determine
Budget
Enterprise
Organization
Figure 98 Acquire Project team data Flow diagram
The project management team may or may not have direct control over team member selection because of
collective bargaining agreements use of subcontractor personnel matrix project environment internal or external
reporting relationships or other various reasons It is important that the following factors are considered during the
process of acquiring the project team
• The project manager or project management team should effectively negotiate and influence others who
are in a position to provide the required human resources for the project
• Failure to acquire the necessary human resources for the project may affect project schedules budgets
customer satisfaction quality and risks Insufficient human resources or capabilities decrease the
probability of success and in a worst case scenario could result in project cancellation
• If the human resources are not available due to constraints such as economic factors or previous
assignments to other projects the project manager or project team may be required to assign alternative
resources perhaps with lower competencies provided there is no violation of legal regulatory mandatory
or other specific criteria269©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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9
These factors should be considered and planned for in the planning stages of the project The project manager or
project management team will be required to reflect the impact of any unavailability of required human resources in
the project schedule project budget project risks project quality training plans and the other project management
plans
921 Acquire Project Team Inputs
9211 Human Resource Management Plan
Described in Section 9131 The human resource management plan provides guidance on how project human
resources should be identified staffed managed and eventually released It includes
• Roles and responsibilities defining the positions skills and competencies that the project demands
• Project organization charts indicating the number of people needed for the project and
• Staffing management plan delineating the time periods each project team member will be needed and
other information important to engage the project team
9212 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that influence the Acquire Project Team process
include but are not limited to
• Existing information on human resources including availability competency levels prior experience
interest in working on the project and their cost rate
• Personnel administration policies such as those that affect outsourcing
• Organizational structure as described in Section 231 and
• Colocation or multiple locations
9213 Organizational Process Assets
Described in Section 214 The organizational process assets that influence the Acquire Project Team process
include but are not limited to organizational standard policies processes and procedures270 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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922 Acquire Project Team Tools and Techniques
9221 Preassignment
When project team members are selected in advance they are considered preassigned This situation can
occur if the project is the result of specific people being identified as part of a competitive proposal if the project
is dependent upon the expertise of particular persons or if some staff assignments are defined within the project
charter
9222 Negotiation
Staff assignments are negotiated on many projects For example the project management team may need to
negotiate with
• Functional managers to ensure that the project receives appropriately competent staff in the required
time frame and that the project team members will be able willing and authorized to work on the project
until their responsibilities are completed
• Other project management teams within the performing organization to appropriately assign scarce or
specialized human resources and
• External organizations vendors suppliers contractors etc for appropriate scarce specialized qualified
certified or other such specified human resources Special consideration should be given to external
negotiating policies practices processes guidelines legal and other such criteria
The project management team’s ability to influence others plays an important role in negotiating staff
assignments as do the politics of the organizations involved For example a functional manager will weigh the
benefits and visibility of competing projects when determining where to assign exceptional performers requested
by various project teams
9223 Acquisition
When the performing organization is unable to provide the staff needed to complete a project the required
services may be acquired from outside sources This can involve hiring individual consultants or subcontracting
work to another organization271©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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9224 Virtual Teams
The use of virtual teams creates new possibilities when acquiring project team members Virtual teams can be
defined as groups of people with a shared goal who fulfill their roles with little or no time spent meeting face to
face The availability of communication technology such as email audio conferencing social media webbased
meetings and video conferencing has made virtual teams feasible The virtual team model makes it possible to
• Form teams of people from the same organization who live in widespread geographic areas
• Add special expertise to a project team even though the expert is not in the same geographic area
• Incorporate employees who work from home offices
• Form teams of people who work different shifts hours or days
• Include people with mobility limitations or disabilities and
• Move forward with projects that would have been ignored due to travel expenses
There are some disadvantages related to virtual teams such as possibility for misunderstandings feeling
of isolation difficulties in sharing knowledge and experience between team members and cost of appropriate
technology Communication planning becomes increasingly important in a virtual team environment Additional
time may be needed to set clear expectations facilitate communications develop protocols for resolving conflict
include people in decision making understand cultural differences and share credit in successes
9225 MultiCriteria Decision Analysis
Selection criteria are often used as a part of acquiring the project team By use of a multicriteria decision
analysis tool criteria are developed and used to rate or score potential team members The criteria are weighted
according to the relative importance of the needs within the team Some examples of selection criteria that can be
used to score team members are shown as follows
• Availability Identify whether the team member is available to work on the project within the time period
needed If there are there any concerns for availability during the project timeline
• Cost Verify if the cost of adding the team member is within the prescribed budget
• Experience Verify that the team member has the relevant experience that will contribute to the project
success
• Ability Verify that the team member has the competencies needed by the project272 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Knowledge Consider if the team member has relevant knowledge of the customer similar implemented
projects and nuances of the project environment
• Skills Determine whether the member has the relevant skills to use a project tool implementation or
training
• Attitude Determine whether the member has the ability to work with others as a cohesive team
• International factors Consider team member location time zone and communication capabilities
923 Acquire Project Team Outputs
9231 Project Staff Assignments
The project is staffed when appropriate people have been assigned to the team The documentation of these
assignments can include a project team directory memos to team members and names inserted into other parts
of the project management plan such as project organization charts and schedules
9232 Resource Calendars
Resource calendars document the time periods that each project team member is available to work on the project
Creating a reliable schedule (Section 6631) depends on having a good understanding of each person’s availability
and schedule constraints including time zones work hours vacation time local holidays and commitments to
other projects
9233 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to the human
resource management plan For example the person assigned to a predefined role may not fulfill all staffing
requirements outlined in the human resource management plan When gaps occur the project management plan
needs to be updated to change the team structure roles or responsibilities273©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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93 develop Project team
Develop Project Team is the process of improving competencies team member interaction and overall team
environment to enhance project performance The key benefit of this process is that it results in improved teamwork
enhanced people skills and competencies motivated employees reduced staff turnover rates and improved overall
project performance The inputs tools and techniques and outputs of this process are depicted in Figure 99
Figure 910 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Human resource
management plan
2 Project staff assignments
3 Resource calendars
1 Interpersonal skills
2 Training
3 Teambuilding activities
4 Ground rules
5 Colocation
6 Recognition and rewards
7 Personnel assessment
tools
1 Team performance
assessments
2 Enterprise environmental
factors updates
Figure 99 develop Project team Inputs tools & techniques and outputs
Project Human Resource Management
93
Develop
Project Team
91
Plan Human
Resource
Management
92
Acquire Project
Team
94
Manage
Project Team
• Enterprise
environmental
factors updates
• Human resource
management plan
• Resource
calendars
• Team performance
assessments
• Project staff assignments
• Resource calendars
122
Conduct
Procurements
Enterprise
Organization
Figure 910 develop Project team data Flow diagram274 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
Project managers should acquire skills to identify build maintain motivate lead and inspire project teams
to achieve high team performance and to meet the project’s objectives Teamwork is a critical factor for project
success and developing effective project teams is one of the primary responsibilities of the project manager
Project managers should create an environment that facilitates teamwork Project managers should continually
motivate their team by providing challenges and opportunities by providing timely feedback and support as
needed and by recognizing and rewarding good performance High team performance can be achieved by using
open and effective communication creating team building opportunities developing trust among team members
managing conflicts in a constructive manner and encouraging collaborative problem solving and decision making
The project manager should request management support andor influence the appropriate stakeholders to acquire
the resources needed to develop effective project teams
Project managers operate in a global environment and work on projects characterized by cultural diversity Team
members often have diverse industry experience know multiple languages and sometimes operate in the team
language that may be a different language or norm than their native one The project management team should
capitalize on cultural differences focus on developing and sustaining the project team throughout the project life
cycle and promote working together interdependently in a climate of mutual trust Developing the project team
improves the people skills technical competencies and overall team environment and project performance It
requires clear timely effective and efficient communication between team members throughout the life of the
project Objectives of developing a project team include but are not limited to
• Improving knowledge and skills of team members to increase their ability to complete project deliverables
while lowering costs reducing schedules and improving quality
• Improving feelings of trust and agreement among team members to raise morale lower conflict and
increase team work and
• Creating a dynamic cohesive and collaborative team culture to (1) improve individual and team
productivity team spirit and cooperation and (2) allow cross training and mentoring between team
members to share knowledge and expertise
931 Develop Project Team Inputs
9311 Human Resource Management Plan
Described in Section 9131 The human resource management plan provides guidance on how project human
resources should be defined staffed managed controlled and eventually released It identifies training strategies
and plans for developing the project team Items such as rewards feedback additional training and disciplinary
actions can be added to the plan as a result of ongoing team performance assessments and other forms of project
team management275©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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9312 Project Staff Assignments
Described in Section 9231 Team development starts with a list of the project team members Project staff
assignment documents identify the people who are on the team
9313 Resource Calendars
Described in Section 9232 Resource calendars identify times when the project team members can participate
in team development activities
932 Develop Project Team Tools and Techniques
9321 Interpersonal Skills
Interpersonal skills sometimes known as soft skills are behavioral competencies that include proficiencies
such as communication skills emotional intelligence conflict resolution negotiation influence team building and
group facilitation These soft skills are valuable assets when developing the project team For example the project
management team can use emotional intelligence to reduce tension and increase cooperation by identifying
assessing and controlling the sentiments of project team members anticipating their actions acknowledging their
concerns and following up on their issues
9322 Training
Training includes all activities designed to enhance the competencies of the project team members Training
can be formal or informal Examples of training methods include classroom online computerbased onthejob
training from another project team member mentoring and coaching If project team members lack the necessary
management or technical skills such skills can be developed as part of the project work Scheduled training takes
place as stated in the human resource management plan Unplanned training takes place as a result of observation
conversation and project performance appraisals conducted during the controlling process of managing the project
team Training costs could be included in the project budget or supported by performing organization if the added
skills may be useful for future projects It could be performed by inhouse or external trainers276 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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9323 TeamBuilding Activities
Teambuilding activities can vary from a 5minute agenda item in a status review meeting to an offsite
professionally facilitated experience designed to improve interpersonal relationships The objective of teambuilding
activities is to help individual team members work together effectively Teambuilding strategies are particularly
valuable when team members operate from remote locations without the benefit of facetoface contact Informal
communication and activities can help in building trust and establishing good working relationships
As an ongoing process team building is crucial to project success While team building is essential during the
initial stages of a project it is a neverending process Changes in a project environment are inevitable and to
manage them effectively a continued or a renewed teambuilding effort should be applied The project manager
should continually monitor team functionality and performance to determine if any actions are needed to prevent
or correct various team problems
One of the models used to describe team development is the Tuckman ladder (Tuckman 1965 Tuckman &
Jensen 1977) which includes five stages of development that teams may go through Although it’s common for
these stages to occur in order it’s not uncommon for a team to get stuck in a particular stage or slip to an earlier
stage Projects with team members who worked together in the past may skip a stage
• Forming This phase is where the team meets and learns about the project and their formal roles and
responsibilities Team members tend to be independent and not as open in this phase
• Storming During this phase the team begins to address the project work technical decisions and the
project management approach If team members are not collaborative and open to differing ideas and
perspectives the environment can become counterproductive
• Norming In the norming phase team members begin to work together and adjust their work habits and
behaviors to support the team The team learns to trust each other
• Performing Teams that reach the performing stage function as a wellorganized unit They are
interdependent and work through issues smoothly and effectively
• Adjourning In the adjourning phase the team completes the work and moves on from the project
This typically occurs when staff is released from the project as deliverables are completed or as part of
carrying out the Close Project or Phase process (Section 46)
The duration of a particular stage depends upon team dynamics team size and team leadership Project
managers should have a good understanding of team dynamics in order to move their team members through all
stages in an effective manner277©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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9324 Ground Rules
Ground rules establish clear expectations regarding acceptable behavior by project team members Early
commitment to clear guidelines decreases misunderstandings and increases productivity Discussing ground rules
in areas such as code of conduct communication working together or meeting etiquette allows team members to
discover values that are important to one another All project team members share responsibility for enforcing the
rules once they are established
9325 Colocation
Colocation also referred to as tight matrix involves placing many or all of the most active project team
members in the same physical location to enhance their ability to perform as a team Colocation can be temporary
such as at strategically important times during the project or for the entire project Colocation strategies can
include a team meeting room (sometimes called war room) places to post schedules and other conveniences
that enhance communication and a sense of community While colocation is considered a good strategy the use of
virtual teams can bring benefits such as the use of more skilled resources reduced costs less travel and relocation
expenses and the proximity of team members to suppliers customers or other key stakeholders
9326 Recognition and Rewards
Part of the team development process involves recognizing and rewarding desirable behavior The original plans
concerning ways in which to reward people are developed during the Plan Human Resource Management process
It is important to recognize that a particular reward given to any individual will be effective only if it satisfies a
need which is valued by that individual Award decisions are made formally or informally during the process of
managing the project team through project performance appraisals (Section 9422) Cultural differences should
be considered when determining recognition and rewards
People are motivated if they feel they are valued in the organization and this value is demonstrated by the
rewards given to them Generally money is viewed as a tangible aspect of any reward system but intangible
rewards could be equally or even more effective Most project team members are motivated by an opportunity to
grow accomplish and apply their professional skills to meet new challenges A good strategy for project managers
is to give the team recognition throughout the life cycle of the project rather than waiting until the project is
completed278 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
9327 Personnel Assessment Tools
Personnel assessment tools give the project manager and the project team insight into areas of strength and
weakness These tools help project managers assess the team preferences aspirations how they process and
organize information how they tend to make decisions and how they prefer to interact with people
Various tools are available such as attitudinal surveys specific assessments structured interviews ability
tests and focus groups These tools can provide improved understanding trust commitment and communications
among team members and facilitate more productive teams throughout the project
933 Develop Project Team Outputs
9331 Team Performance Assessments
As project team development efforts such as training team building and colocation are implemented the
project management team makes formal or informal assessments of the project team’s effectiveness Effective
team development strategies and activities are expected to increase the team’s performance which increases
the likelihood of meeting project objectives Team performance assessment criteria should be determined by all
appropriate parties and incorporated in the Develop Project Team inputs
The performance of a successful team is measured in terms of technical success according to agreedupon
project objectives (including quality levels) performance on project schedule (finished on time) and performance
on budget (finished within financial constraints) Highperformance teams are characterized by these taskoriented
and resultsoriented outcomes
The evaluation of a team’s effectiveness may include indicators such as
• Improvements in skills that allow individuals to perform assignments more effectively
• Improvements in competencies that help the team perform better as a team
• Reduced staff turnover rate and
• Increased team cohesiveness where team members share information and experiences openly and help
each other to improve the overall project performance279©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
9
As a result of conducting an evaluation of the team’s overall performance the project management team
can identify the specific training coaching mentoring assistance or changes required to improve the team’s
performance This should also include identification of the appropriate or required resources necessary to achieve
and implement the improvements identified in the assessment These resources and recommendations for team
improvement should be well documented and forwarded to the relevant parties
9332 Enterprise Environmental Factors Updates
The enterprise environmental factors that may be updated as a result of the Develop Project Team process
include but are not limited to personnel administration employee training records and skill assessments
94 Manage Project Team
Manage Project Team is the process of tracking team member performance providing feedback resolving
issues and managing team changes to optimize project performance The key benefit of this process is that it
influences team behavior manages conflict resolves issues and appraises team member performance The inputs
tools and techniques and outputs of this process are depicted in Figure 911 Figure 912 depicts the data flow
diagram of the process
Inputs Tools & Techniques Outputs
1 Human resource
management plan
2 Project staff assignments
3 Team performance
assessments
4 Issue log
5 Work performance
reports
6 Organizational process
assets
1 Observation and
conversation
2 Project performance
appraisals
3 Conflict management
4 Interpersonal skills
1 Change requests
2 Project management plan
updates
3 Project documents
updates
4 Enterprise environmental
factors updates
5 Organizational process
assets updates
Figure 911 Manage Project Team Inputs Tools & Techniques and Outputs280 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
Project Human Resource Management
94
Manage
Project Team
92
Acquire
Project
Team
91
Plan Human
Resource
Management
93
Develop
Project
Team
• Organizational
process assets updates
• Enterprise
environmental
factors updates
• Project staff
assignments
• Team
performance
assessments
• Human resource
management plan
• Project documents
updates
• Change requests• Issue log
• Organizational
process assets
• Work performance
reports
• Project
management
plan updates
42
Develop Project
Management
Plan
45
Perform
Integrated
Change Control
133
Manage
Stakeholder
Engagement
44
Monitor and
Control Project
Work
Enterprise
Organization
Project
Documents
Figure 912 Manage Project team data Flow diagram
As a result of managing the project team change requests are submitted the human resource management
plan is updated issues are resolved input is provided for performance appraisals and lessons learned are added
to the organization’s database
Managing the project team requires a variety of management skills for fostering teamwork and integrating the
efforts of team members to create highperformance teams Team management involves a combination of skills
with special emphasis on communication conflict management negotiation and leadership Project managers
should provide challenging assignments to team members and provide recognition for high performance281©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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941 Manage Project Team Inputs
9411 Human Resource Management Plan
Described in Section 9131 The human resource management plan provides guidance on how project human
resources should be defined staffed managed controlled and eventually released It includes but is not limited to
• Roles and responsibilities
• Project organization and
• Staffing management plan
9412 Project Staff Assignments
Described in Section 9231 Project staff assignments provide documentation which includes the list of project
team members
9413 Team Performance Assessments
Described in Section 9331 The project management team makes ongoing formal or informal assessments of
the project team’s performance By continually assessing the project team’s performance actions can be taken to
resolve issues modify communication address conflict and improve team interaction
9414 Issue Log
Issues arise in the course of managing the project team An issue log can be used to document and monitor who
is responsible for resolving specific issues by a target date
9415 Work Performance Reports
Described in Section 4432 Work performance reports provide documentation about the current project status
compared to project forecasts Performance areas that can help with project team management include results
from schedule control cost control quality control and scope validation The information from performance reports
and related forecasts assists in determining future human resource requirements recognition and rewards and
updates to the staffing management plan282 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
9416 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Manage Project Team
process include but are not limited to
• Certificates of appreciation
• Newsletters
• Websites
• Bonus structures
• Corporate apparel and
• Other organizational perquisites
942 Manage Project Team Tools and Techniques
9421 Observation and Conversation
Observation and conversation are used to stay in touch with the work and attitudes of project team members
The project management team monitors progress toward project deliverables accomplishments that are a source
of pride for team members and interpersonal issues
9422 Project Performance Appraisals
Objectives for conducting performance appraisals during the course of a project can include clarification of
roles and responsibilities constructive feedback to team members discovery of unknown or unresolved issues
development of individual training plans and the establishment of specific goals for future time periods
The need for formal or informal project performance appraisals depends on the length of the project complexity of
the project organizational policy labor contract requirements and the amount and quality of regular communication
9423 Conflict Management
Conflict is inevitable in a project environment Sources of conflict include scarce resources scheduling
priorities and personal work styles Team ground rules group norms and solid project management practices like
communication planning and role definition reduce the amount of conflict283©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Successful conflict management results in greater productivity and positive working relationships When
managed properly differences of opinion can lead to increased creativity and better decision making If the
differences become a negative factor project team members are initially responsible for their resolution If conflict
escalates the project manager should help facilitate a satisfactory resolution Conflict should be addressed early
and usually in private using a direct collaborative approach If disruptive conflict continues formal procedures may
be used including disciplinary actions
The success of project managers in managing their project teams often depends a great deal on their ability to
resolve conflict Different project managers may utilize different conflict resolution methods Factors that influence
conflict resolution methods include
• Relative importance and intensity of the conflict
• Time pressure for resolving the conflict
• Position taken by persons involved and
• Motivation to resolve conflict on a longterm or a shortterm basis
There are five general techniques for resolving conflict As each one has its place and use these are not given
in any particular order
• WithdrawAvoid Retreating from an actual or potential conflict situation postponing the issue to be
better prepared or to be resolved by others
• SmoothAccommodate Emphasizing areas of agreement rather than areas of difference conceding
one’s position to the needs of others to maintain harmony and relationships
• CompromiseReconcile Searching for solutions that bring some degree of satisfaction to all parties in
order to temporarily or partially resolve the conflict
• ForceDirect Pushing one’s viewpoint at the expense of others offering only winlose solutions usually
enforced through a power position to resolve an emergency
• CollaborateProblem Solve Incorporating multiple viewpoints and insights from differing perspectives
requires a cooperative attitude and open dialogue that typically leads to consensus and commitment
9424 Interpersonal Skills
Project managers use a combination of technical personal and conceptual skills to analyze situations and
interact appropriately with team members Using appropriate interpersonal skills allows project managers to
capitalize on the strengths of all team members284 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
Examples of interpersonal skills that a project manager uses most often include
• Leadership Successful projects require strong leadership skills Leadership is important through all
phases of the project life cycle There are multiple leadership theories defining leadership styles that
should be used as needed for each situation or team It is especially important to communicate the vision
and inspire the project team to achieve high performance
• Influencing Because project managers often have little or no direct authority over team members in a
matrix environment their ability to influence stakeholders on a timely basis is critical to project success
Key influencing skills include
○○ Ability to be persuasive and clearly articulate points and positions
○○ High levels of active and effective listening skills
○○ Awareness of and consideration for the various perspectives in any situation and
○○ Gathering relevant and critical information to address important issues and reach agreements
while maintaining mutual trust
• Effective decision making This involves the ability to negotiate and influence the organization and the
project management team Some guidelines for decision making include
○○ Focus on goals to be served
○○ Follow a decisionmaking process
○○ Study the environmental factors
○○ Analyze available information
○○ Develop personal qualities of the team members
○○ Stimulate team creativity and
○○ Manage risk
943 Manage Project Team Outputs
9431 Change Requests
Staffing changes whether by choice or by uncontrollable events can affect the rest of the project management
plan When staffing issues disrupt the project team from adhering to the project management plan such as causing
the schedule to be extended or the budget to be exceeded a change request can be processed through the
Perform Integrated Change Control process Staffing changes may include moving people to different assignments
outsourcing some of the work and replacing team members who leave285©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
9
Preventive actions are those actions that are developed to reduce the probability andor impact of problems
before they occur These actions may include cross training to reduce problems during project team member
absences and additional role clarification to ensure all responsibilities are fulfilled
9432 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to the human
resource management plan
9433 Project Documents Updates
Project documents that may indirectly be updated include but are not limited to
• Issue log
• Roles description and
• Project staff assignments
9434 Enterprise Environmental Factors Updates
Enterprise environmental factors that may require updates as a result of the Manage Project Team process
include but are not limited to
• Input to organizational performance appraisals and
• Personnel skill updates
9435 Organizational Process Assets Updates
Organizational process assets that may require updates as a result of the Manage Project Team process include
but are not limited to
• Historical information and lessons learned documentation
• Templates and
• Organizational standard processes287©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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PROJECT COMMUNICATIONS MANAGEMENT
Project Communications Management includes the processes that are required to ensure timely and appropriate
planning collection creation distribution storage retrieval management control monitoring and the ultimate
disposition of project information Project managers spend most of their time communicating with team members
and other project stakeholders whether they are internal (at all organizational levels) or external to the organization
Effective communication creates a bridge between diverse stakeholders who may have different cultural and
organizational backgrounds different levels of expertise and different perspectives and interests which impact or
have an influence upon the project execution or outcome
Figure 101 provides an overview of the Project Communications Management processes which are as follows
101 Plan Communications Management—The process of developing an appropriate approach and
plan for project communications based on stakeholder’s information needs and requirements and
available organizational assets
102 Manage Communications—The process of creating collecting distributing storing retrieving and
the ultimate disposition of project information in accordance with the communications management
plan
103 Control Communications—The process of monitoring and controlling communications throughout
the entire project life cycle to ensure the information needs of the project stakeholders are met
These processes interact with each other and with processes in other Knowledge Areas as described in detail
in Section 3 and Annex A1
The communication activities involved in these processes may often have many potential dimensions that need
to be considered including but not limited to
• Internal (within the project) and external (customer vendors other projects organizations the public)
• Formal (reports minutes briefings) and informal (emails memos adhoc discussions)
• Vertical (up and down the organization) and horizontal (with peers)
• Official (newsletters annual report) and unofficial (off the record communications) and
• Written and oral and verbal (voice inflections) and nonverbal (body language)
1010288 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
Most communication skills are common for both general management and project management such as but
not limited to
• Listening actively and effectively
• Questioning and probing ideas and situations to ensure better understanding
• Educating to increase team’s knowledge so that they can be more effective
• Factfinding to identify or confirm information
• Setting and managing expectations
• Persuading a person a team or an organization to perform an action
• Motivating to provide encouragement or reassurance
• Coaching to improve performance and achieve desired results
• Negotiating to achieve mutually acceptable agreements between parties
• Resolving conflict to prevent disruptive impacts and
• Summarizing recapping and identifying the next steps
1 Inputs
1 Project management plan
2 Stakeholder register
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Communication requirements
analysis
2 Communication technology
3 Communication models
4 Communication methods
5 Meetings
3 Outputs
1 Communications management
plan
2 Project documents updates
1 Inputs
1 Communications management
plan
2 Work performance reports
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Communication technology
2 Communication models
3 Communication methods
4 Information management
systems
5 Performance reporting
3 Outputs
1 Project communications
3 Project management plan
updates
2 Project documents updates
4 Organizational process assets
updates
1 Inputs
1 Project management plan
2 Project communications
3 Issue log
4 Work performance data
5 Organizational process assets
2 Tools & Techniques
1 Information management
systems
2 Expert judgment
3 Meetings
3 Outputs
1 Work performance information
2 Change requests
3 Project management plan
updates
4 Project documents updates
5 Organizational process assets
updates
Project Communications
Management Overview
102 Manage
Communications
101 Plan Communications
Management
103 Control
Communications
Figure 101 Project Communications Management Overview289©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
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101 Plan communications Management
Plan Communications Management is the process of developing an appropriate approach and plan for project
communications based on stakeholder’s information needs and requirements and available organizational assets
The key benefit of this process is that it identifies and documents the approach to communicate most effectively
and efficiently with stakeholders The inputs tools and techniques and outputs of this process are depicted in
Figure 102 Figure 103 depicts the data flow diagram of the Plan Communications Management process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Stakeholder register
3 Enterprise environmental
factors
4 Organizational process
assets
1 Communication
requirements analysis
2 Communication
technology
3 Communication models
4 Communication methods
5 Meetings
1 Communications
management plan
2 Project documents
updates
Figure 102 Plan communications Management Inputs tools & techniques and outputs
Project Communications Management
101
Plan
Communications
Management
102
Manage
Communications
• Stakeholder
register • Communications
management plan
• Organizational
process assets
• Enterprise
environmental
factors
• Project
management plan
• Project
documents
updates
42
Develop Project
Management
Plan
133
Manage
Stakeholder
Engagement
131
Identify
Stakeholders
Enterprise
Organization Project
Documents
Figure 103 Plan communications Management data Flow diagram290 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
Planning the project communications is important to the ultimate success of any project Inadequate
communications planning may lead to problems such as delay in message delivery communication of information
to the wrong audience or insufficient communication to the stakeholders and misunderstanding or misinterpretation
of the message communicated
On most projects communication planning is performed very early such as during project management plan
development This allows appropriate resources such as time and budget to be allocated to communication
activities Effective communication means that the information is provided in the right format at the right time to
the right audience and with the right impact Efficient communication means providing only the information that
is needed
While all projects share the need to communicate project information the information needs and methods of
distribution may vary widely In addition the methods of storage retrieval and ultimate disposition of the project
information need to be considered and appropriately documented during this process Important considerations
that may need to be taken into account include but are not limited to
• Who needs what information and who is authorized to access that information
• When they will need the information
• Where the information should be stored
• What format the information should be stored in
• How the information can be retrieved and
• Whether time zone language barriers and crosscultural considerations need to be taken into account
The results of the Plan Communications Management process should be reviewed regularly throughout the
project and revised as needed to ensure continued applicability
1011 Plan Communications Management Inputs
10111 Project Management Plan
Described in Section 4231 The project management plan provides information on how the project will be
executed monitored controlled and closed291©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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10112 Stakeholder Register
Described in Section 13131 The stakeholder register provides the information needed to plan the
communication with project stakeholders
10113 Enterprise Environmental Factors
Described in Section 215 The Plan Communications Management process is tightly linked with enterprise
environmental factors since the structure of an organization will have a major effect on the project’s communication
requirements All enterprise environmental factors described in Section 215 are used as inputs for this process
since communications need to be adapted to the project environment
10114 Organizational Process Assets
Described in Section 214 All organizational process assets described in Section 214 are used as inputs to the
Plan Communications Management process Of these lessons learned and historical information are of particular
importance because they can provide insights on both the decisions taken regarding communications issues and
the results of those decisions in previous similar projects These can be used as guiding information to plan the
communication activities for the current project
1012 Plan Communications Management Tools and Techniques
10121 Communication Requirements Analysis
The analysis of the communication requirements determines the information needs of the project stakeholders
These requirements are defined by combining the type and format of information needed with an analysis of the
value of that information Project resources should be expended only on communicating information that contributes
to the success of the project or where a lack of communication can lead to failure292 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
The project manager should also consider the number of potential communication channels or paths as an
indicator of the complexity of a project’s communications The total number of potential communication channels
is n(n – 1)2 where n represents the number of stakeholders For example a project with 10 stakeholders has
10(10 – 1)2 45 potential communication channels As a result a key component of planning the project’s
actual communications is to determine and limit who will communicate with whom and who will receive what
information
Sources of information typically used to identify and define project communication requirements include but
are not limited to
• Organizational charts
• Project organization and stakeholder responsibility relationships
• Disciplines departments and specialties involved in the project
• Logistics of how many persons will be involved with the project and at which locations
• Internal information needs (eg when communicating within organizations)
• External information needs (eg when communicating with the media public or contractors) and
• Stakeholder information and communication requirements from within the stakeholder register
10122 Communication Technology
The methods used to transfer information among project stakeholders may vary significantly For example a
project team may use techniques from brief conversations to extended meetings or from simple written documents
to extensive materials (eg schedules databases and websites) which are accessible online as methods of
communication
Factors that can affect the choice of communication technology include
• Urgency of the need for information There is a need to consider the urgency frequency and format
of the information to be communicated as they may vary from project to project and also within different
stages of a project
• Availability of technology There is a need to ensure that the technology that is required to facilitate
communication is compatible available and accessible for all stakeholders throughout the life of the
project293©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Ease of Use There is a need to ensure that the choice of communication technologies is suitable for
project participants and that appropriate training events are planned for where appropriate
• Project environment There is a need to determine if the team will meet and operate on a facetoface
basis or in a virtual environment whether they will be located in one or multiple time zones whether
they will use multiple languages for communication and finally whether there are any other project
environmental factors such as culture which may affect communications
• Sensitivity and confidentiality of the information There is a need to determine if the information
to be communicated is sensitive or confidential and whether or not additional security measures need
to be taken Also the most appropriate way to communicate the information should be considered
10123 Communication Models
The communication models used to facilitate communications and the exchange of information may vary from
project to project and also within different stages of the same project A basic communication model shown in
Figure 104 consists of two parties defined as the sender and receiver Medium is the technology medium and
includes the mode of communication while noise includes any interference or barriers that might compromise the
delivery of the message The sequence of steps in a basic communication model is
• Encode Thoughts or ideas are translated (encoded) into language by the sender
• Transmit Message This information is then sent by the sender using communication channel (medium)
The transmission of this message may be compromised by various factors (eg distance unfamiliar
technology inadequate infrastructure cultural difference and lack of background information) These
factors are collectively termed as noise
• Decode The message is translated by the receiver back into meaningful thoughts or ideas
• Acknowledge Upon receipt of a message the receiver may signal (acknowledge) receipt of the message
but this does not necessarily mean agreement with or comprehension of the message
• FeedbackResponse When the received message has been decoded and understood the receiver
encodes thoughts and ideas into a message and then transmits this message to the original sender294 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
Sender
Encode
Decode
Receiver
Decode
Encode
Transmit
Message
Feedback
MessageNoise
Medium
Noise
Noise
Acknowledge
Message
Figure 104 Basic Communication Model
The components of the basic communication model need to be considered when project communications
are discussed As part of the communications process the sender is responsible for the transmission
of the message ensuring the information being communicated is clear and complete and confirming the
communication is correctly understood The receiver is responsible for ensuring that the information is received
in its entirety understood correctly and acknowledged or responded to appropriately
There are many challenges in using these components to effectively communicate with project stakeholders
such as in a highly technical multinational project team Successful communication of a technical concept
from one team member to another team member in a different country could involve encoding the message in
the appropriate language sending the message using a variety of technologies and having the receiver decode
the message into his or her native language and then reply or provide feedback Any noise introduced along
the way may compromise the original meaning of the message In this example there are multiple factors that
may lead to the intended meaning of the message being misunderstood or misinterpreted
10124 Communication Methods
There are several communication methods that are used to share information among project stakeholders
These methods are broadly classified as follows295©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Interactive communication Between two or more parties performing a multidirectional exchange
of information It is the most efficient way to ensure a common understanding by all participants on
specified topics and includes meetings phone calls instant messaging video conferencing etc
• Push communication Sent to specific recipients who need to receive the information This ensures
that the information is distributed but does not ensure that it actually reached or was understood by the
intended audience Push communications include letters memos reports emails faxes voice mails
blogs press releases etc
• Pull communication Used for very large volumes of information or for very large audiences and
requires the recipients to access the communication content at their own discretion These methods
include intranet sites elearning lessons learned databases knowledge repositories etc
The choices of communication methods that are used for a project may need to be discussed and agreed upon
by the project stakeholders based on communication requirements cost and time constraints and familiarity and
availability of the required tools and resources that may be applicable to the communications process
10125 Meetings
Described in Section 4323 The Plan Communications Management process requires discussion and dialogue
with the project team to determine the most appropriate way to update and communicate project information
and to respond to requests from various stakeholders for that information These discussions and dialogue are
commonly facilitated through meetings which may be conducted face to face or online and in different locations
such as the project site or the customer’s site
There are several types of projectrelated meetings where project communications may occur Most project
meetings consist of stakeholders coming together for the purpose of resolving problems or making decisions
Although casual discussions may be construed as a meeting most project meetings are more formal with a
prearranged time place and agenda Typical meetings begin with a defined list of issues to be discussed which are
circulated in advance with minutes and other information documented specifically for the meeting This information
is then disseminated to other appropriate stakeholders on an asneeded basis296 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
1013 Plan Communications Management Outputs
10131 Communications Management Plan
The communications management plan is a component of the project management plan that describes how
project communications will be planned structured monitored and controlled The plan contains the following
information
• Stakeholder communication requirements
• Information to be communicated including language format content and level of detail
• Reason for the distribution of that information
• Time frame and frequency for the distribution of required information and receipt of acknowledgment or
response if applicable
• Person responsible for communicating the information
• Person responsible for authorizing release of confidential information
• Person or groups who will receive the information
• Methods or technologies used to convey the information such as memos email andor press releases
• Resources allocated for communication activities including time and budget
• Escalation process identifying time frames and the management chain (names) for escalation of issues
that cannot be resolved at a lower staff level
• Method for updating and refining the communications management plan as the project progresses and
develops
• Glossary of common terminology
• Flow charts of the information flow in the project workflows with possible sequence of authorization list
of reports and meeting plans etc and
• Communication constraints usually derived from a specific legislation or regulation technology and
organizational policies etc297©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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The communications management plan can also include guidelines and templates for project status meetings
project team meetings emeetings and email messages The use of a project website and project management
software can also be included if these are to be used in the project
10132 Project Documents Updates
Project documents that may be updated include but are not limited to
• Project schedule and
• Stakeholder register
102 Manage Communications
Manage Communications is the process of creating collecting distributing storing retrieving and the ultimate
disposition of project information in accordance to the communications management plan The key benefit of this
process is that it enables an efficient and effective communications flow between project stakeholders The inputs
tools and techniques and outputs of this process are depicted in Figure 105 Figure 106 depicts the data flow
diagram of the Manage Communications process
Inputs Tools & Techniques Outputs
1 Communications
management plan
2 Work performance
reports
3 Enterprise environmental
factors
4 Organizational process
assets
1 Communication
technology
2 Communication models
3 Communication methods
4 Information management
systems
5 Performance reporting
1 Project communications
3 Project management plan
updates
2 Project documents
updates
4 Organizational process
assets updates
Figure 105 Manage Communications Inputs Tools & Techniques and Outputs298 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
Project Communications Management
102
Manage
Communications
101
Plan
Communications
Management
103
Control
Communications
• Organizational
process assets updates
• Communications
management plan
• Project documents
updates
• Project
communications
• Enterprise
environmental
factors
• Organizational
process assets
• Work performance
reports
• Project
management
plan updates
42
Develop Project
Management
Plan
44
Monitor and
Control Project
Work
Enterprise
Organization
Project
Documents
Figure 106 Manage communications data Flow diagram
This process goes beyond the distribution of relevant information and seeks to ensure that the information being
communicated to project stakeholders has been appropriately generated as well as received and understood It
also provides opportunities for stakeholders to make requests for further information clarification and discussion
Techniques and considerations for effective communications management include but are not limited to the
following
• Senderreceiver models Incorporating feedback loops to provide opportunities for interaction
participation and remove barriers to communication
• choice of media Situation specifics as to when to communicate in writing versus orally when to prepare
an informal memo versus a formal report and when to communicate face to face versus by email
• Writing style Appropriate use of active versus passive voice sentence structure and word choice299©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Meeting management techniques Preparing an agenda and dealing with conflicts
• Presentation techniques Awareness of the impact of body language and design of visual aids
• Facilitation techniques Building consensus and overcoming obstacles
• Listening techniques Listening actively (acknowledging clarifying and confirming understanding) and
removal of barriers that adversely affect comprehension
1021 Manage Communications Inputs
10211 Communications Management Plan
Described in Section 10131 The communications management plan describes how project communications
will be planned structured monitored and controlled
10212 Work Performance Reports
Described in Section 4432 Work performance reports are a collection of project performance and status
information that may be used to facilitate discussion and to create communications To optimize this process it is
important that reports be comprehensive accurate and available in a timely manner
10213 Enterprise Environmental Factors
Described in Section 215 Specific enterprise environmental factors that can influence the Manage
Communications process include but are not limited to
• Organizational culture and structure
• Government or industry standards and regulations and
• Project management information system
10214 Organizational Process Assets
Described in Section 214 Organizational process assets that can influence the Manage Communications
process include but are not limited to300 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
• Policies procedures processes and guidelines regarding communications management
• Templates and
• Historical information and lessons learned
1022 Manage Communications Tools and Techniques
10221 Communication Technology
Described in Section 10122 The choice of communication technology is an important consideration in the
Manage Communications process As this can vary significantly from project to project and also throughout the life
of a project the focus is to ensure that the choice is appropriate for the information that is being communicated
10222 Communication Models
Described in Section 10123 The choice of communication models is an important consideration
in this process As the components in the communications all contribute toward an effective and efficient
communications process the focus is to ensure that the choice of the communication model is appropriate for
the project that is undertaken and that any barriers (noise) are identified and managed
10223 Communication Methods
Described in Section 10124 The choice of communication methods is an important consideration in this
process As there can be many potential barriers and challenges during this process the focus is to ensure that
the information that has been created and distributed has been received and understood to enable response and
feedback
10224 Information Management Systems
Project information is managed and distributed using a variety of tools including
• Hardcopy document management letters memos reports and press releases
• Electronic communications management email fax voice mail telephone video and web conferencing
websites and web publishing and
• Electronic project management tools web interfaces to scheduling and project management software
meeting and virtual office support software portals and collaborative work management tools301©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
10
10225 Performance Reporting
Performance reporting is the act of collecting and distributing performance information including status reports
progress measurements and forecasts Performance reporting involves the periodic collection and analysis of
baseline versus actual data to understand and communicate the project progress and performance as well as to
forecast the project results
Performance reporting needs to provide information at an appropriate level for each audience The format
may range from a simple status report to more elaborate reports and may be prepared regularly or on an
exception basis A simple status report might show performance information such as percent complete or status
dashboards for each area (ie scope schedule cost and quality) More elaborate reports may include
• Analysis of past performance
• Analysis of project forecasts (including time and cost)
• Current status of risks and issues
• Work completed during the period
• Work to be completed in the next period
• Summary of changes approved in the period and
• Other relevant information which is reviewed and discussed
1023 Manage Communications Outputs
10231 Project Communications
The Manage Communications process involves the activities that are required for information to be created
distributed received acknowledged and understood Project communications may include but are not limited to
performance reports deliverables status schedule progress and cost incurred Project communications can vary
significantly and are influenced by factors such as but not limited to the urgency and impact of the message its
method of delivery and level of confidentiality302 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
10232 Project Management Plan Updates
The project management plan provides information on project baselines communications management and
stakeholder management Each of these areas may require updates based upon the current performance of the
project against the performance measurement baseline (PMB) The performance measurement baseline is an
approved plan for the project work to which the project execution is compared and deviations are measured
for management control The performance measurement baseline typically integrates scope schedule and cost
parameters of a project but may also include technical and quality parameters
10233 Project Documents Updates
Project documents that may be updated include but are not limited to
• Issue log
• Project schedule and
• Project funding requirements
10234 Organizational Process Assets Updates
The organizational process assets which may be updated include but are not limited to
• Stakeholder notifications Information may be provided to stakeholders about resolved issues approved
changes and general project status
• Project reports Formal and informal project reports describe project status and include lessons learned
issue logs project closure reports and outputs from other Knowledge Areas (Sections 413)
• Project presentations The project team provides information formally or informally to any or all of the
project stakeholders The information and presentation method should be relevant to the needs of the
audience
• Project records Project records may include correspondence memos meeting minutes and other
documents describing the project This information should to the extent possible and appropriate
be maintained in an organized manner Project team members can also maintain records in a project
notebook or register which could be physical or electronic303©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
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• Feedback from stakeholders Information received from stakeholders concerning project operations is
distributed and used to modify or improve future performance of the project
• Lessons learned documentation Documentation includes the causes of issues reasoning behind
the corrective action chosen and other types of lessons learned about communications management
Lessons learned need to be documented and distributed so that it becomes part of the historical database
for both the project and the performing organization
103 Control Communications
Control Communications is the process of monitoring and controlling communications throughout the entire
project life cycle to ensure the information needs of the project stakeholders are met The key benefit of this process
is that it ensures an optimal information flow among all communication participants at any moment in time The
inputs tools and techniques and outputs of this process are depicted in Figure 107 Figure 108 depicts the data
flow diagram of the Control Communications process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Project communications
3 Issue log
4 Work performance data
5 Organizational process
assets
1 Information management
systems
2 Expert judgment
3 Meetings
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure 107 Control Communications Inputs Tools & Techniques and Outputs304 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
Project Communications Management
102
Manage
Communications
• Organizational process
assets updates
• Project
communications
• Project documents
updates
• Change
requests• Organizational
process assets
• Work performance data
• Issue log
• Project
management
plan
• Project
management
plan updates
• Work performance
information
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
42
Develop Project
Management
Plan
43
Direct and
Manage Project
Work
133
Manage
Stakeholder
Engagement
103
Control
Communications
Enterprise
Organization
Project
Documents
Figure 108 control communications data Flow diagram
The Control Communications process can trigger an iteration of the Plan Communications Management andor
Manage Communications processes This iteration illustrates the continuous nature of the Project Communications
Management processes Specific communication elements such as issues or key performance indicators (eg
actual vs planned schedule cost and quality) may trigger an immediate revision while others may not The impact
and repercussions of project communications should be carefully evaluated and controlled to ensure that the right
message is delivered to the right audience at the right time
1031 control communications Inputs
10311 Project Management Plan
Described in Section 4231 The project management plan describes how the project will be executed
monitored controlled and closed It provides valuable information for the Control Communications process such
as but not limited to305©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
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• Stakeholder communication requirements
• Reason for the distribution of the information
• Timeframe and frequency for the distribution of required information
• Individual or group responsible for communication of the information and
• Individual or group receiving the information
10312 Project Communications
Described in Section 10231 The Control Communications process involves the activities that are required
for information and communications to be monitored acted upon and released to stakeholders Project
communications come from multiple sources and may vary significantly in their format level of detail degree of
formality and confidentiality Project communications may include but are not limited to
• Deliverables status
• Schedule progress and
• Costs incurred
10313 Issue Log
Described in Section 13331 An issue log is used to document and monitor the resolution of issues It may be
used to facilitate communication and ensure a common understanding of issues A written log documents and helps
to monitor who is responsible for resolving specific issues by a target date Issue resolution addresses obstacles
that can block the team from achieving its goals This information is important to the Control Communications
process as it provides both a repository for what has already happened in the project and a platform for subsequent
communications to be delivered
10314 Work Performance Data
Described in Section 4332 Work performance data organizes and summarizes the information gathered
and presents the results of comparative analysis to the performance measurement baseline306 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
10315 Organizational Process Assets
Described in Section 214 The organizational process assets that may influence the Control Communications
process include but are not limited to
• Report templates
• Policies standards and procedures that define communications
• Specific communication technologies available
• Allowed communication media
• Record retention policies and
• Security requirements
1032 Control Communications Tools and Techniques
10321 Information Management Systems
An information management system provides a set of standard tools for the project manager to capture store
and distribute information to stakeholders about the project’s costs schedule progress and performance Some
software packages allow the project manager to consolidate reports from several systems and facilitate report
distribution to the project stakeholders Examples of distribution formats may include table reporting spreadsheet
analysis and presentations Graphic capabilities can be used to create visual representations of project performance
information
10322 Expert Judgment
Expert judgment is often relied upon by the project team to assess the impact of the project communications
need for action or intervention actions that should be taken responsibility for taking such actions and the timeframe
for taking action Expert judgment may need to be applied to technical andor management details and may be
provided by any group or individual with specialized knowledge or training such as307©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
10
• Other units within the organization
• Consultants
• Stakeholders including customers or sponsors
• Professional and technical associations
• Industry groups
• Subject matter experts and
• Project management office (PMO)
The project manager in collaboration with the project team then determines the actions required to ensure that
the right message is communicated to the right audience at the right time
10323 Meetings
The Control Communications process requires discussion and dialogue with the project team to determine
the most appropriate way to update and communicate project performance and to respond to requests from
stakeholders for information These discussions and dialogues are commonly facilitated through meetings
which may be conducted face to face or online and in different locations such as the project site or the
client’s site Project meetings also include discussions and dialog with suppliers vendors and other project
stakeholders
1033 Control Communications Outputs
10331 Work Performance Information
Described in Section 4415 Work performance information organizes and summarizes the performance data
gathered This performance data typically provides status and progress information on the project at the level of
detail required by the various stakeholders This information is then communicated to the appropriate stakeholders
10332 Change Requests
Described in Section 4333 The Control Communications process often results in the need for adjustment
action and intervention As a result change requests will be generated as an output These change requests are
processed through the Perform Integrated Change Control process (Section 45) and may result in308 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
• New or revised cost estimates activity sequences schedule dates resource requirements and analysis
of risk response alternatives
• Adjustments to the project management plan and documents
• Recommendations of corrective actions that may bring the expected future performance of the project
back in line with the project management plan and
• Recommendations of preventive actions that may reduce the probability of incurring future negative
project performance
10333 Project Management Plan Updates
Control Communications process may trigger updates to the communications management plan as well as
other components of the project management plan (eg stakeholders and human resource management plans)
10334 Project Documents Updates
Project documents may be updated as a result of the Control Communications process These updates may
include but are not limited to
• Forecasts
• Performance reports and
• Issue log
10335 Organizational Process Assets Updates
The organizational process assets that may be updated include but are not limited to report formats and
lessons learned documentation This documentation may become part of the historical database for both this
project and the performing organization and may include the causes of issues reasons behind the corrective action
chosen and other types of lessons learned during the project309©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11
PROJECT RISK MANAGEMENT
Project Risk Management includes the processes of conducting risk management planning identification
analysis response planning and controlling risk on a project The objectives of project risk management are to
increase the likelihood and impact of positive events and decrease the likelihood and impact of negative events
in the project
Figure 111 provides an overview of the Project Risk Management processes which are as follows
111 Plan Risk Management—The process of defining how to conduct risk management activities for a
project
112 Identify Risks—The process of determining which risks may affect the project and documenting
their characteristics
113 Perform Qualitative Risk Analysis—The process of prioritizing risks for further analysis or action
by assessing and combining their probability of occurrence and impact
114 Perform Quantitative Risk Analysis—The process of numerically analyzing the effect of identified
risks on overall project objectives
115 Plan Risk Responses—The process of developing options and actions to enhance opportunities and
to reduce threats to project objectives
116 Control Risks—The process of implementing risk response plans tracking identified risks monitoring
residual risks identifying new risks and evaluating risk process effectiveness throughout the project
These processes interact with each other and with processes in other Knowledge Areas as described in detail
in Section 3 and Annex A1
1111310 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
Project risk is an uncertain event or condition that if it occurs has a positive or negative effect on one or
more project objectives such as scope schedule cost and quality A risk may have one or more causes and
if it occurs it may have one or more impacts A cause may be a given or potential requirement assumption
constraint or condition that creates the possibility of negative or positive outcomes For example causes could
include the requirement of an environmental permit to do work or having limited personnel assigned to design the
project The risk is that the permitting agency may take longer than planned to issue a permit or in the case of
an opportunity additional development personnel may become available who can participate in design and they
can be assigned to the project If either of these uncertain events occurs there may be an impact on the project
scope cost schedule quality or performance Risk conditions may include aspects of the project’s or organization’s
environment that contribute to project risk such as immature project management practices lack of integrated
management systems concurrent multiple projects or dependency on external participants who are outside the
project’s direct control
Project risk has its origins in the uncertainty present in all projects Known risks are those that have been
identified and analyzed making it possible to plan responses for those risks Known risks that cannot be managed
proactively should be assigned a contingency reserve Unknown risks cannot be managed proactively and therefore
may be assigned a management reserve A negative project risk that has occurred is considered an issue
Individual project risks are different from overall project risk Overall project risk represents the effect of
uncertainty on the project as a whole It is more than the sum of the individual risks within a project since it includes
all sources of project uncertainty It represents the exposure of stakeholders to the implications of variations in
project outcome both positive and negative
Organizations perceive risk as the effect of uncertainty on projects and organizational objectives Organizations
and stakeholders are willing to accept varying degrees of risk depending on their risk attitude The risk attitudes of
both the organization and the stakeholders may be influenced by a number of factors which are broadly classified
into three themes311©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
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• Risk appetite which is the degree of uncertainty an entity is willing to take on in anticipation of a reward
• Risk tolerance which is the degree amount or volume of risk that an organization or individual will
withstand
• Risk threshold which refers to measures along the level of uncertainty or the level of impact at which a
stakeholder may have a specific interest Below that risk threshold the organization will accept the risk
Above that risk threshold the organization will not tolerate the risk
For example an organization’s risk attitude may include its appetite for uncertainty its threshold for risk levels
that are unacceptable or its risk tolerance at which point the organization may select a different risk response
Positive and negative risks are commonly referred to as opportunities and threats The project may be accepted
if the risks are within tolerances and are in balance with the rewards that may be gained by taking the risks Positive
risks that offer opportunities within the limits of risk tolerances may be pursued in order to generate enhanced
value For example adopting an aggressive resource optimization technique is a risk taken in anticipation of a
reward for using fewer resources
Individuals and groups adopt attitudes toward risk that influence the way they respond These risk attitudes are
driven by perception tolerances and other biases which should be made explicit wherever possible A consistent
approach to risk should be developed for each project and communication about risk and its handling should
be open and honest Risk responses reflect an organization’s perceived balance between risk taking and risk
avoidance
To be successful an organization should be committed to address risk management proactively and consistently
throughout the project A conscious choice should be made at all levels of the organization to actively identify and
pursue effective risk management during the life of the project Project risk could exist at the moment a project
is initiated Moving forward on a project without a proactive focus on risk management is likely to lead to more
problems arising from unmanaged threats312 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
1 Inputs
1 Project management plan
2 Project charter
3 Stakeholder register
4 Enterprise environmental
factors
5 Organizational process assets
2 Tools & Techniques
1 Analytical techniques
2 Expert judgment
3 Meetings
3 Outputs
1 Risk management plan
1 Inputs
1 Risk management plan
2 Cost management plan
3 Schedule management plan
4 Quality management plan
5 Human resource
management plan
6 Scope baseline
7 Activity cost estimates
8 Activity duration estimates
9 Stakeholder register
10 Project documents
11 Procurement documents
12 Enterprise environmental
factors
13 Organizational process assets
2 Tools & Techniques
1 Documentation reviews
2 Information gathering
techniques
3 Checklist analysis
4 Assumptions analysis
5 Diagramming techniques
6 SWOT analysis
7 Expert judgment
3 Outputs
1 Risk register
1 Inputs
1 Risk management plan
2 Scope baseline
3 Risk register
4 Enterprise environmental
factors
5 Organizational process assets
2 Tools & Techniques
1 Risk probability and impact
assessment
2 Probability and impact matrix
3 Risk data quality assessment
4 Risk categorization
5 Risk urgency assessment
6 Expert judgment
3 Outputs
1 Project documents updates
1 Inputs
1 Risk management plan
2 Cost management plan
3 Schedule management plan
4 Risk register
5 Enterprise environmental
factors
6 Organizational process assets
2 Tools & Techniques
1 Data gathering and
representation techniques
2 Quantitative risk analysis and
modeling techniques
3 Expert judgment
3 Outputs
1 Project documents updates
Project Risk
Management Overview
112 Identify Risks111 Plan Risk
Management
113 Perform Qualitative
Risk Analysis
1 Inputs
1 Risk management plan
2 Risk register
2 Tools & Techniques
1 Strategies for negative risks or
threats
2 Strategies for positive risks or
opportunities
3 Contingent response
strategies
4 Expert judgment
3 Outputs
1 Project management plan
updates
2 Project documents updates
1 Inputs
1 Project management plan
2 Risk register
3 Work performance data
4 Work performance reports
2 Tools & Techniques
1 Risk reassessment
2 Risk audits
3 Variance and trend analysis
4 Technical performance
measurement
5 Reserve analysis
6 Meetings
3 Outputs
1 Work performance information
2 Change requests
3 Project management plan
updates
4 Project documents updates
5 Organizational process assets
updates
115 Plan Risk Responses
116 Control Risks
114 Perform Quantitative
Risk Analysis
Figure 111 Project Risk Management Overview313©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11
111 Plan risk Management
Plan Risk Management is the process of defining how to conduct risk management activities for a project The
key benefit of this process is it ensures that the degree type and visibility of risk management are commensurate
with both the risks and the importance of the project to the organization The risk management plan is vital to
communicate with and obtain agreement and support from all stakeholders to ensure the risk management process
is supported and performed effectively over the project life cycle The inputs tools and techniques and outputs of
this process are depicted in Figure 112 Figure 113 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Project charter
3 Stakeholder register
4 Enterprise environmental
factors
5 Organizational process
assets
1 Analytical techniques
2 Expert judgment
3 Meetings
1 Risk management plan
Figure 112 Plan risk Management Inputs tools & techniques and outputs
Project Risk Management
111
Plan Risk
Management
• Project charter
• Stakeholder
register
• Enterprise
environmental
factors
• Organizational
process assets
• Risk
management
plan
• Project
management
plan
42
Develop Project
Management
Plan
112
Identify
Risks
113
Perform
Qualitative
Risk Analysis
114
Perform
Quantitative
Risk Analysis
115
Plan Risk
Responses
131
Identify
Stakeholders
41
Develop Project
Charter
Enterprise
Organization
Figure 113 Plan risk Management data Flow diagram314 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
Careful and explicit planning enhances the probability of success for other risk management processes Planning
is also important to provide sufficient resources and time for risk management activities and to establish an agreed
upon basis for evaluating risks The Plan Risk Management process should begin when a project is conceived and
should be completed early during project planning
1111 Plan Risk Management Inputs
11111 Project Management Plan
In planning risk management all approved subsidiary management plans and baselines should be taken into
consideration in order to make the risk management plan consistent with them The risk management plan is also
a component of the project management plan The project management plan provides baseline or current state of
riskaffected areas including scope schedule and cost
11112 Project Charter
Described in Section 4131 The project charter can provide various inputs such as highlevel risks highlevel
project descriptions and highlevel requirements
11113 Stakeholder Register
Described in Section 13131 The stakeholder register which contains all details related to the project’s
stakeholders provides an overview of their roles
11114 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Plan Risk Management
process include but are not limited to risk attitudes thresholds and tolerances that describe the degree of risk
that an organization will withstand
11115 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Plan Risk Management
process include but are not limited to315©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11
• Risk categories
• Common definitions of concepts and terms
• Risk statement formats
• Standard templates
• Roles and responsibilities
• Authority levels for decision making and
• Lessons learned
1112 Plan Risk Management Tools and Techniques
11121 Analytical Techniques
Analytical techniques are used to understand and define the overall risk management context of the project
Risk management context is a combination of stakeholder risk attitudes and the strategic risk exposure of a given
project based on the overall project context For example a stakeholder risk profile analysis may be performed to
grade and qualify the project stakeholder risk appetite and tolerance Other techniques such as the use of strategic
risk scoring sheets are used to provide a highlevel assessment of the risk exposure of the project based on the
overall project context Depending on these assessments the project team can allocate appropriate resources and
focus on the risk management activities
11122 Expert Judgment
To ensure a comprehensive establishment of the risk management plan judgment and expertise should be
considered from groups or individuals with specialized training or knowledge on the subject area such as
• Senior management
• Project stakeholders
• Project managers who have worked on projects in the same area (directly or through lessons learned)
• Subject matter experts (SMEs) in business or project area
• Industry groups and consultants and
• Professional and technical associations316 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11123 Meetings
Project teams hold planning meetings to develop the risk management plan Attendees at these meetings may
include the project manager selected project team members and stakeholders anyone in the organization with
responsibility to manage the risk planning and execution activities and others as needed
Highlevel plans for conducting the risk management activities are defined in these meetings Risk management
cost elements and schedule activities should be developed for inclusion in the project budget and schedule
respectively Risk contingency reserve application approaches may be established or reviewed Risk management
responsibilities should be assigned General organizational templates for risk categories and definitions of terms
such as levels of risk probability by type of risk impact by type of objectives and the probability and impact matrix
will be tailored to the specific project If templates for other steps in the process do not exist they may be generated
in these meetings The outputs of these activities are summarized in the risk management plan
1113 Plan Risk Management Outputs
11131 Risk Management Plan
The risk management plan is a component of the project management plan and describes how risk management
activities will be structured and performed The risk management plan includes the following
• Methodology Defines the approaches tools and data sources that will be used to perform risk
management on the project
• Roles and responsibilities Defines the lead support and risk management team members for each
type of activity in the risk management plan and clarifies their responsibilities
• Budgeting Estimates funds needed based on assigned resources for inclusion in the cost baseline and
establishes protocols for application of contingency and management reserves
• Timing Defines when and how often the risk management processes will be performed throughout the
project life cycle establishes protocols for application of schedule contingency reserves and establishes
risk management activities for inclusion in the project schedule317©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11
• Risk categories Provide a means for grouping potential causes of risk Several approaches can be
used for example a structure based on project objectives by category A risk breakdown structure (RBS)
helps the project team to look at many sources from which project risk may arise in a risk identification
exercise Different RBS structures will be appropriate for different types of projects An organization can
use a previously prepared custom categorization framework which may take the form of a simple list of
categories or may be structured into an RBS The RBS is a hierarchical representation of risks according
to their risk categories An example is shown in Figure 114
Beta and triangular distributions are frequently used in quantitative risk analysis The data shown in the figure
on the left (Beta Distribution) is one example of a family of such distributions determined by two shape
parameters Other commonly used distributions include the uniform normal and lognormal In these charts
the horizontal (X) axes represent possible values of time or cost and the vertical (Y) axes represent relative
likelihood
Beta Distribution Triangular Distribution
01
00
01
00
Figure 114 Example of a Risk Breakdown Structure (RBS)
• Definitions of risk probability and impact The quality and credibility of the risk analysis requires that
different levels of risk probability and impact be defined that are specific to the project context General
definitions of probability levels and impact levels are tailored to the individual project during the Plan
Risk Management process for use in subsequent processes Table 111 is an example of definitions of
negative impacts that could be used in evaluating risk impacts related to four project objectives (Similar
tables may be established with a positive impact perspective) Table 111 illustrates both relative and
numerical (in this case nonlinear) approaches318 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
Table 111 Definition of Impact Scales for Four Project Objectives
•
Defined Conditions for Impact Scales of a Risk on Major Project Objectives
(Examples are shown for negative impacts only)
Relative or numerical scales are shown
This table presents examples of risk impact definitions for four different project objectives They should be tailored in the
Risk Management Planning process to the individual project and to the organization＇s risk thresholds Impact definitions can be
developed for opportunities in a similar way
Project
Objective
Cost
Time
Scope
Quality
Very low 005 Low 010 Moderate 020 High 040 Very high 080
Insignificant cost
increase
Insignificant time
increase
Scope decrease
barely noticeable
Quality degradation
barely noticeable
< 10 cost
increase
< 5 time
increase
Minor areas of
scope affected
Only very demanding
applications
are affected
10 – 20 cost
increase
5 – 10 time
increase
Major areas of
scope affected
Quality reduction
requires sponsor
approval
20 – 40 cost
increase
10 – 20 time
increase
Scope reduction
unacceptable to
sponsor
Quality reduction
unacceptable to
sponsor
> 40 cost
increase
> 20 time
increase
Project end item
is effectively
useless
Project end item
is effectively
useless
Probability and impact matrix A probability and impact matrix is a grid for mapping the probability
of each risk occurrence and its impact on project objectives if that risk occurs Risks are prioritized
according to their potential implications for having an effect on the project’s objectives A typical
approach to prioritizing risks is to use a lookup table or a probability and impact matrix The specific
combinations of probability and impact that lead to a risk being rated as high moderate or low
importance are usually set by the organization
• Revised stakeholders’ tolerances Stakeholders’ tolerances as they apply to the specific project may
be revised in the Plan Risk Management process
• Reporting formats Reporting formats define how the outcomes of the risk management process will
be documented analyzed and communicated It describes the content and format of the risk register as
well as any other risk reports required
• Tracking Tracking documents how risk activities will be recorded for the benefit of the current project
and how risk management processes will be audited319©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
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112 Identify Risks
Identify Risks is the process of determining which risks may affect the project and documenting their
characteristics The key benefit of this process is the documentation of existing risks and the knowledge and ability
it provides to the project team to anticipate events The inputs tools and techniques and outputs of this process
are depicted in Figure 115 Figure 116 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Risk management plan
2 Cost management plan
3 Schedule management
plan
4 Quality management plan
5 Human resource
management plan
6 Scope baseline
7 Activity cost estimates
8 Activity duration
estimates
9 Stakeholder register
10 Project documents
11 Procurement documents
12 Enterprise environmental
factors
13 Organizational process
assets
1 Documentation reviews
2 Information gathering
techniques
3 Checklist analysis
4 Assumptions analysis
5 Diagramming techniques
6 SWOT analysis
7 Expert judgment
1 Risk register
Figure 115 Identify Risks Inputs Tools & Techniques and Outputs320 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
• Risk management plan
• Risk register
• Scope baseline
• Schedule management plan
• Activity duration estimates
• Cost management plan
• Activity cost estimates
• Quality management plan
• Human resource
management plan
• Procurement documents
• Stakeholder register
Project Risk Management
• Organizational process assets
• Enterprise environmental
factors
72
Estimate
Costs
81
Plan Quality
Management
121
Plan
Procurement
Management
Project
Documents
54
Create WBS
71
Project Cost
Management
81
Plan Quality
Management
65
Estimate
Activity Durations
61
Plan Schedule
Management
121
Plan Procurement
Management
131
Identify
Stakeholders
91
Plan Human
Resource
Management
Enterprise
Organization
112
Identify
Risks
113
Perform
Qualitative
Risk Analysis
115
Plan Risk
Responses
114
Perform
Quantitative
Risk Analysis
116
Control
Risks
111
Plan Risk
Management
72
Estimate Costs
Figure 116 Identify Risks Data Flow Diagram321©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
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Participants in risk identification activities may include the following project manager project team members
risk management team (if assigned) customers subject matter experts from outside the project team end
users other project managers stakeholders and risk management experts While these personnel are often key
participants for risk identification all project personnel should be encouraged to identify potential risks
Identify risks is an iterative process because new risks may evolve or become known as the project progresses
through its life cycle The frequency of iteration and participation in each cycle will vary by situation The format of
the risk statements should be consistent to ensure that each risk is understood clearly and unambiguously in order
to support effective analysis and response development The risk statement should support the ability to compare
the relative effect of one risk against others on the project The process should involve the project team so they can
develop and maintain a sense of ownership and responsibility for the risks and associated risk response actions
Stakeholders outside the project team may provide additional objective information
1121 Identify Risks Inputs
11211 Risk Management Plan
Described in Section 11131 Key elements of the risk management plan that contribute to the Identify Risks
process are the assignments of roles and responsibilities provision for risk management activities in the budget
and schedule and categories of risk which are sometimes expressed as a risk breakdown structure (Figure 114)
11212 Cost Management Plan
Described in Section 7131 The cost management plan provides processes and controls that can be used to
help identify risks across the project
11213 Schedule Management Plan
Described in Section 6131 The schedule management plan provides insight to project timeschedule
objectives and expectations which may be impacted by risks (known and unknown)
11214 Quality Management Plan
Described in Section 8131 The quality management plan provides a baseline of quality measures and metrics
for use in identifying risks322 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11215 Human Resource Management Plan
Described in Section 9131 The human resource management plan provides guidance on how project human
resources should be defined staffed managed and eventually released It can also contain roles and responsibilities
project organization charts and the staffing management plan which form a key input to identify risk process
11216 Scope Baseline
Described in Section 5431 Project assumptions are found in the project scope statement Uncertainty in
project assumptions should be evaluated as potential causes of project risk
The WBS is a critical input to identifying risks as it facilitates an understanding of the potential risks at both
the micro and macro levels Risks can be identified and subsequently tracked at summary control account andor
work package levels
11217 Activity Cost Estimates
Described in Section 7231 Activity cost estimate reviews are useful in identifying risks as they provide a
quantitative assessment of the likely cost to complete scheduled activities and ideally are expressed as a range
with the width of the range indicating the degree(s) of risk The review may result in projections indicating the
estimate is either sufficient or insufficient to complete the activity (ie pose a risk to the project)
11218 Activity Duration Estimates
Described in Section 6531 Activity duration estimate reviews are useful in identifying risks related to the time
allowances for the activities or project as a whole again with the width of the range of such estimates indicating
the relative degree(s) of risk
11219 Stakeholder Register
Described in Section 13131 Information about the stakeholders is useful for soliciting inputs to identify risks
as this will ensure that key stakeholders especially the stakeholder sponsor and customer are interviewed or
otherwise participate during the Identify Risks process323©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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112110 Project Documents
Project documents provide the project team with information about decisions that help better identify project
risks Project documents improve crossteam and stakeholder communications and include but are not limited to
• Project charter
• Project schedule
• Schedule network diagrams
• Issue log
• Quality checklist and
• Other information proven to be valuable in identifying risks
112111 Procurement Documents
Defined in Section 12133 If the project requires external procurement of resources procurement
documents become a key input to the Identify Risks process The complexity and the level of detail of the
procurement documents should be consistent with the value of and risks associated with planned procurement
112112 Enterprise Environmental Factors
Described in Section 215 Enterprise environmental factors that can influence the Identify Risks process
include but are not limited to
• Published information including commercial databases
• Academic studies
• Published checklists
• Benchmarking
• Industry studies and
• Risk attitudes324 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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112113 Organizational Process Assets
Described in Section 214 Organizational process assets that can influence the Identify Risks process include
but are not limited to
• Project files including actual data
• Organizational and project process controls
• Risk statement formats or templates and
• Lessons learned
1122 Identify Risks Tools and Techniques
11221 Documentation Reviews
A structured review of the project documentation may be performed including plans assumptions previous
project files agreements and other information The quality of the plans as well as consistency between those
plans and the project requirements and assumptions may be indicators of risk in the project
11222 Information Gathering Techniques
Examples of information gathering techniques used in identifying risks can include
• Brainstorming The goal of brainstorming is to obtain a comprehensive list of project risks The project
team usually performs brainstorming often with a multidisciplinary set of experts who are not part of the
team Ideas about project risk are generated under the leadership of a facilitator either in a traditional
freeform brainstorm session or structured mass interviewing techniques Categories of risk such as in a
risk breakdown structure can be used as a framework Risks are then identified and categorized by type
of risk and their definitions are refined
• Delphi technique The Delphi technique is a way to reach a consensus of experts Project risk experts
participate in this technique anonymously A facilitator uses a questionnaire to solicit ideas about the
important project risks The responses are summarized and are then recirculated to the experts for
further comment Consensus may be reached in a few rounds of this process The Delphi technique helps
reduce bias in the data and keeps any one person from having undue influence on the outcome325©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Interviewing Interviewing experienced project participants stakeholders and subject matter experts
helps to identify risks
• Root cause analysis Rootcause analysis is a specific technique used to identify a problem discover
the underlying causes that lead to it and develop preventive action
11223 Checklist Analysis
Risk identification checklists are developed based on historical information and knowledge that has been
accumulated from previous similar projects and from other sources of information The lowest level of the RBS
can also be used as a risk checklist While a checklist may be quick and simple it is impossible to build an
exhaustive one and care should be taken to ensure the checklist is not used to avoid the effort of proper risk
identification The team should also explore items that do not appear on the checklist Additionally the checklist
should be pruned from time to time to remove or archive related items The checklist should be reviewed during
project closure to incorporate new lessons learned and improve it for use on future projects
11224 Assumptions Analysis
Every project and its plan is conceived and developed based on a set of hypotheses scenarios or assumptions
Assumptions analysis explores the validity of assumptions as they apply to the project It identifies risks to the
project from inaccuracy instability inconsistency or incompleteness of assumptions
11225 Diagramming Techniques
Risk diagramming techniques may include
• Cause and effect diagrams These are also known as Ishikawa or fishbone diagrams and are useful for
identifying causes of risks
• System or process flow charts These show how various elements of a system interrelate and the
mechanism of causation
• Influence diagrams These are graphical representations of situations showing causal influences time
ordering of events and other relationships among variables and outcomes as shown in Figure 117326 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
Project
Activity
Project
Estimates
Deliverables
Risk
Condition
Figure 117 Influence Diagram
11226 SWOT Analysis
This technique examines the project from each of the strengths weaknesses opportunities and threats (SWOT)
perspectives to increase the breadth of identified risks by including internally generated risks The technique starts
with identification of strengths and weaknesses of the organization focusing on either the project organization
or the business area in general SWOT analysis then identifies any opportunities for the project that arise from
organizational strengths and any threats arising from organizational weaknesses The analysis also examines
the degree to which organizational strengths offset threats as well as identifying opportunities that may serve to
overcome weaknesses327©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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11227 Expert Judgment
Risks may be identified directly by experts with relevant experience with similar projects or business areas
Such experts should be identified by the project manager and invited to consider all aspects of the project and
suggest possible risks based on their previous experience and areas of expertise The experts’ bias should be taken
into account in this process
1123 Identify Risks Outputs
11231 Risk Register
The primary output from Identify Risks is the initial entry into the risk register The risk register is a document
in which the results of risk analysis and risk response planning are recorded It contains the outcomes of the other
risk management processes as they are conducted resulting in an increase in the level and type of information
contained in the risk register over time The preparation of the risk register begins in the Identify Risks process
with the following information and then becomes available to other project management and risk management
processes
• List of identified risks The identified risks are described in as much detail as is reasonable A
structure for describing risks using risk statements may be applied for example EVENT may occur
causing IMPACT or If CAUSE exists EVENT may occur leading to EFFECT In addition to the list of
identified risks the root causes of those risks may become more evident These are the fundamental
conditions or events that may give rise to one or more identified risks They should be recorded and
used to support future risk identification for this and other projects
• List of potential responses Potential responses to a risk may sometimes be identified during the Identify
Risks process These responses if identified in this process should be used as inputs to the Plan Risk
Responses process328 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
113 Perform Qualitative Risk Analysis
Perform Qualitative Risk Analysis is the process of prioritizing risks for further analysis or action by assessing
and combining their probability of occurrence and impact The key benefit of this process is that it enables project
managers to reduce the level of uncertainty and to focus on highpriority risks The inputs tools and techniques
and outputs of this process are depicted in Figure 118 Figure 119 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Risk management plan
2 Scope baseline
3 Risk register
4 Enterprise environmental
factors
5 Organizational process
assets
1 Risk probability and
impact assessment
2 Probability and impact
matrix
3 Risk data quality
assessment
4 Risk categorization
5 Risk urgency assessment
6 Expert judgment
1 Project documents
updates
Figure 118 Perform Qualitative Risk Analysis Inputs Tools & Techniques and Outputs
Project Risk Management
113
Perform
Qualitative
Risk Analysis
111
Plan Risk
Management
112
Identify
Risks
• Project documents
updates
• Risk register• Risk management
plan
• Enterprise
environmental
factors
• Organizational
process assets
• Scope baseline
54
Create
WBS
Enterprise
Organization
Project
Documents
Figure 119 Perform Qualitative Risk Analysis Data Flow Diagram329©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Perform Qualitative Risk Analysis assesses the priority of identified risks using their relative probability or
likelihood of occurrence the corresponding impact on project objectives if the risks occur as well as other
factors such as the time frame for response and the organization’s risk tolerance associated with the project
constraints of cost schedule scope and quality Such assessments reflect the risk attitude of the project
team and other stakeholders Effective assessment therefore requires explicit identification and management
of the risk approaches of key participants in the Perform Qualitative Risk Analysis process Where these risk
approaches introduce bias into the assessment of identified risks attention should be paid to identifying bias
and correcting for it
Establishing definitions of the levels of probability and impact can reduce the influence of bias The time
criticality of riskrelated actions may magnify the importance of a risk An evaluation of the quality of the
available information on project risks also helps to clarify the assessment of the risk’s importance to the project
Perform Qualitative Risk Analysis is usually a rapid and costeffective means of establishing priorities for Plan
Risk Responses and lays the foundation for Perform Quantitative Risk Analysis if required The Perform Qualitative
Risk Analysis process is performed regularly throughout the project life cycle as defined in the project’s risk
management plan This process can lead into Perform Quantitative Risk Analysis (Section 114) or directly into Plan
Risk Responses (Section 115)
1131 Perform Qualitative Risk Analysis Inputs
11311 Risk Management Plan
Described in Section 11131 Key elements of the risk management plan used in the Perform Qualitative Risk
Analysis process include roles and responsibilities for conducting risk management budgets schedule activities
for risk management risk categories definitions of probability and impact the probability and impact matrix
and revised stakeholders’ risk tolerances These inputs are usually tailored to the project during the Plan Risk
Management process If they are not available they may be developed during the Perform Qualitative Risk Analysis
process
11312 Scope Baseline
Described in Section 5431 Projects of a common or recurrent type tend to have more wellunderstood risks
Projects using stateoftheart or firstofitskind technology and highly complex projects tend to have more
uncertainty This can be evaluated by examining the scope baseline330 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11313 Risk Register
Described in Section 11231 The risk register contains the information that will be used to assess and prioritize
risks
11314 Enterprise Environmental Factors
Described in Section 215 Enterprise environmental factors may provide insight and context to the risk
assessment such as
• Industry studies of similar projects by risk specialists and
• Risk databases that may be available from industry or proprietary sources
11315 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Perform Qualitative Risk
Analysis process include information on prior similar completed projects
1132 Perform Qualitative Risk Analysis Tools and Techniques
11321 Risk Probability and Impact Assessment
Risk probability assessment investigates the likelihood that each specific risk will occur Risk impact
assessment investigates the potential effect on a project objective such as schedule cost quality or performance
including both negative effects for threats and positive effects for opportunities
Probability and impact are assessed for each identified risk Risks can be assessed in interviews or meetings
with participants selected for their familiarity with the risk categories on the agenda Project team members and
knowledgeable persons external to the project are included
The level of probability for each risk and its impact on each objective is evaluated during the interview or meeting
Explanatory detail including assumptions justifying the levels assigned are also recorded Risk probabilities
and impacts are rated according to the definitions given in the risk management plan Risks with low ratings of
probability and impact will be included within the risk register as part of the watch list for future monitoring331©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
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11322 Probability and Impact Matrix
Risks can be prioritized for further quantitative analysis and planning risk responses based on their risk rating
Ratings are assigned to risks based on their assessed probability and impact Evaluation of each risk’s importance
and priority for attention is typically conducted using a lookup table or a probability and impact matrix Such a
matrix specifies combinations of probability and impact that lead to rating the risks as low moderate or high
priority Descriptive terms or numeric values can be used depending on organizational preference
Each risk is rated on its probability of occurrence and impact on an objective if it does occur The organization
should determine which combinations of probability and impact result in a classification of high risk moderate risk
and low risk In a blackandwhite matrix these conditions are denoted using different shades of gray Specifically
in Figure 1110 the dark gray area (with the largest numbers) represents high risk the medium gray area (with
the smallest numbers) represents low risk and the light gray area (with inbetween numbers) represents moderate
risk Usually these riskrating rules are specified by the organization in advance of the project and included in
organizational process assets Risk rating rules can be tailored in the Plan Risk Management process to the specific
project
Probability and Impact Matrix
Probability
090
070
050
030
010
005
004
003
002
001
005
Very Low
009
007
005
003
001
010
Low
018
014
010
006
002
020
Moderate
036
028
020
012
004
040
High
072
056
040
024
008
080
Very High
Impact (numerical scale) on an objective (eg cost time scope or quality)
Each risk is rated on its probability of occurring and impact on an objective if it does occur The organization＇s
thresholds for low moderate or high risks are shown in the matrix and determine whether the risk is scored
as high moderate or low for that objective
Threats
005
004
003
002
001
005
Very Low
009
007
005
003
001
010
Low
018
014
010
006
002
020
Moderate
036
028
020
012
004
040
High
072
056
040
024
008
080
Very High
Opportunities
Figure 1110 Probability and Impact Matrix332 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
As illustrated in Figure 1110 an organization can rate a risk separately for each objective (eg cost time
and scope) In addition it may develop ways to determine one overall rating for each risk Finally opportunities
and threats are handled in the same matrix using definitions of the different levels of impact that are appropriate
for each
The risk score helps guide risk responses For example risks that have a negative impact on objectives
otherwise known as threats if they occur and that are in the highrisk (dark gray) zone of the matrix may require
priority action and aggressive response strategies Threats found in the lowrisk (medium gray) zone may not
require proactive management action beyond being placed in the risk register as part of the watch list or adding
a contingency reserve Similarly for opportunities those in the highrisk (dark gray) zone which may be obtained
most easily and offer the greatest benefit should be targeted first Opportunities in the lowrisk (medium gray) zone
should be monitored
11323 Risk Data Quality Assessment
Risk data quality assessment is a technique to evaluate the degree to which the data about risks is useful
for risk management It involves examining the degree to which the risk is understood and the accuracy quality
reliability and integrity of the data about the risk
The use of lowquality risk data may lead to a qualitative risk analysis of little use to the project If data quality is
unacceptable it may be necessary to gather better data Often the collection of information about risks is difficult
and consumes more time and resources than originally planned The values used in the example in Figure 1110
are representative The numbers of steps in the scale are usually established when defining the risk attitude of the
organization
11324 Risk Categorization
Risks to the project can be categorized by sources of risk (eg using the RBS) the area of the project affected
(eg using the WBS) or other useful categories (eg project phase) to determine the areas of the project most
exposed to the effects of uncertainty Risks can also be categorized by common root causes This technique helps
determine work packages activities project phases or even roles in the project which can lead to the development
of effective risk responses333©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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11325 Risk Urgency Assessment
Risks requiring nearterm responses may be considered more urgent to address Indicators of priority may
include probability of detecting the risk time to affect a risk response symptoms and warning signs and the
risk rating In some qualitative analyses the assessment of risk urgency is combined with the risk ranking that is
determined from the probability and impact matrix to give a final risk severity rating
11326 Expert Judgment
Expert judgment is required to assess the probability and impact of each risk to determine its location in
the matrix shown in Figure 1110 Experts generally are those having experience with similar recent projects
Gathering expert judgment is often accomplished with the use of risk facilitation workshops or interviews The
experts’ bias should be taken into account in this process
1133 Perform Qualitative Risk Analysis Outputs
11331 Project Documents Updates
Project documents that may be updated include but are not limited to
• Risk register updates As new information becomes available through the qualitative risk
assessment the risk register is updated Updates to the risk register may include assessments
of probability and impacts for each risk risk ranking or scores risk urgency information or risk
categorization and a watch list for low probability risks or risks requiring further analysis
• Assumptions log updates As new information becomes available through the qualitative risk
assessment assumptions could change The assumptions log needs to be revisited to accommodate
this new information Assumptions may be incorporated into the project scope statement or in a
separate assumptions log
114 Perform Quantitative Risk Analysis
Perform Quantitative Risk Analysis is the process of numerically analyzing the effect of identified risks on overall
project objectives The key benefit of this process is that it produces quantitative risk information to support decision
making in order to reduce project uncertainty The inputs tools and techniques and outputs of this process are
depicted in Figure 1111 Figure 1112 depicts the data flow diagram of the process334 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
Inputs Tools & Techniques Outputs
1 Risk management plan
2 Cost management plan
3 Schedule management
plan
4 Risk register
5 Enterprise environmental
factors
6 Organizational process
assets
1 Data gathering and
representation
techniques
2 Quantitative risk analysis
and modeling techniques
3 Expert judgment
1 Project documents
updates
Figure 1111 Perform Quantitative Risk Analysis Inputs Tools & Techniques and Outputs
Project Risk Management
114
Perform
Quantitative
Risk Analysis
111
Plan Risk
Management
112
Identify
Risks
• Project documents
updates
• Risk register• Risk management
plan
• Organizational
process assets
• Enterprise
environmental
factors
• Cost management plan
71
Plan Cost
Management • Schedule
management plan
61
Plan Schedule
Management
Enterprise
Organization
Project
Documents
Figure 1112 Perform Quantitative Risk Analysis Data Flow Diagram
Perform Quantitative Risk Analysis is performed on risks that have been prioritized by the Perform Qualitative
Risk Analysis process as potentially and substantially impacting the project’s competing demands The Perform
Quantitative Risk Analysis process analyzes the effect of those risks on project objectives It is used mostly to
evaluate the aggregate effect of all risks affecting the project When the risks drive the quantitative analysis the
process may be used to assign a numerical priority rating to those risks individually335©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Perform Quantitative Risk Analysis generally follows the Perform Qualitative Risk Analysis process In some
cases it may not be possible to execute the Perform Quantitative Risk Analysis process due to lack of sufficient
data to develop appropriate models The project manager should exercise expert judgment to determine the need
for and the viability of quantitative risk analysis The availability of time and budget and the need for qualitative or
quantitative statements about risk and impacts will determine which method(s) to use on any particular project
Perform Quantitative Risk Analysis should be repeated as needed as part of the Control Risks process to determine
if the overall project risk has been satisfactorily decreased Trends may indicate the need for more or less focus on
appropriate risk management activities
1141 Perform Quantitative Risk Analysis Inputs
11411 Risk Management Plan
Described in Section 11131 The risk management plan provides guidelines methods and tools to be used in
quantitative risk analysis
11412 Cost Management Plan
Described in Section 7131 The cost management plan provides guidelines on establishing and managing risk
reserves
11413 Schedule Management Plan
Described in Section 6131 The schedule management plan provides guidelines on establishing and managing
risk reserves
11414 Risk Register
Described in Section 11231 The risk register is used as a reference point for performing quantitative risk
analysis
11415 Enterprise Environmental Factors
Described in Section 215 Enterprise environmental factors may provide insight and context to the risk analysis
such as
• Industry studies of similar projects by risk specialists and
• Risk databases that may be available from industry or proprietary sources336 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11416 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Perform Quantitative Risk
Analysis process include information from prior similar completed projects
1142 Perform Quantitative Risk Analysis Tools and Techniques
11421 Data Gathering and Representation Techniques
• Interviewing Interviewing techniques draw on experience and historical data to quantify the probability
and impact of risks on project objectives The information needed depends upon the type of probability
distributions that will be used For instance information would be gathered on the optimistic (low)
pessimistic (high) and most likely scenarios for some commonly used distributions Examples of three
point estimates for cost are shown in Figure 1113 Additional information on threepoint estimates
appears in Estimate Activity Durations (Section 65) and Estimate Costs (Section 72) Documenting the
rationale of the risk ranges and the assumptions behind them are important components of the risk
interview because they can provide insight on the reliability and credibility of the analysis
Range of Project Cost Estimates
WBS Element
Design
Build
Test
Total Project
4M
16M
11M
31M
6M
20M
15M
41M
10M
35M
23M
68M
Interviewing relevant stakeholders helps determine the threepoint estimates for each WBS
element for triangular beta or other distributions In this example the likelihood of completing
the project at or below the most likely estimate of 41 million is relatively small as shown in
the simulation results in Figure 1117 (Cost Risk Simulation Results)
Low Most Likely High
Figure 1113 Range of Project Cost Estimates Collected During the Risk Interview337©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Probability distributions Continuous probability distributions which are used extensively in modeling
and simulation represent the uncertainty in values such as durations of schedule activities and costs
of project components Discrete distributions can be used to represent uncertain events such as the
outcome of a test or a possible scenario in a decision tree Two examples of widely used continuous
distributions are shown in Figure 1114 These distributions depict shapes that are compatible with the
data typically developed during the quantitative risk analysis Uniform distributions can be used if there
is no obvious value that is more likely than any other between specified high and low bounds such as in
the early concept stage of design
Beta and triangular distributions are frequently used in quantitative risk analysis The data shown in the figure
on the left (Beta Distribution) is one example of a family of such distributions determined by two shape
parameters Other commonly used distributions include the uniform normal and lognormal In these charts
the horizontal (X) axes represent possible values of time or cost and the vertical (Y) axes represent relative
likelihood
Beta Distribution Triangular Distribution
01
00
01
00
Figure 1114 Examples of Commonly Used Probability Distributions338 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11422 Quantitative Risk Analysis and Modeling Techniques
Commonly used techniques use both eventoriented and projectoriented analysis approaches including
• Sensitivity analysis Sensitivity analysis helps to determine which risks have the most potential
impact on the project It helps to understand how the variations in project’s objectives correlate with
variations in different uncertainties Conversely it examines the extent to which the uncertainty of
each project element affects the objective being studied when all other uncertain elements are held at
their baseline values One typical display of sensitivity analysis is the tornado diagram (Figure 1115)
which is useful for comparing relative importance and impact of variables that have a high degree of
uncertainty to those that are more stable The Tornado diagram is also helpful in analyzing risktaking
scenarios enabled on specific risks whose quantitative analysis highlights possible benefits greater
than corresponding identified negative impacts A tornado diagram is a special type of bar chart used
in sensitivity analysis for comparing the relative importance of the variables In a tornado diagram
the Yaxis contains each type of uncertainty at base values and the Xaxis contains the spread or
correlation of the uncertainty to the studied output In this figure each uncertainty contains a horizontal
bar and is ordered vertically to show uncertainties with a decreasing spread from the base values
Risk 1
Risk 2
Risk 3
Risk 4
Risk 5
Risk 6
Negative Impact
Positive Impact
KEY
15000 10000 5000 0 5000 10000 15000 20000
Figure 1115 Example of Tornado Diagram339©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Expected monetary value analysis Expected monetary value (EMV) analysis is a statistical concept
that calculates the average outcome when the future includes scenarios that may or may not happen
(ie analysis under uncertainty) The EMV of opportunities are generally expressed as positive values
while those of threats are expressed as negative values EMV requires a riskneutral assumption—
neither risk averse nor risk seeking EMV for a project is calculated by multiplying the value of each
possible outcome by its probability of occurrence and adding the products together A common use of
this type of analysis is a decision tree analysis (Figure 1116)
Computed
Payoffs minus Costs
along Path
Decision Definition Decision Node Chance Node Net Path Value
Decision to
be Made
Input Cost of Each Decision
Output Decision Made
Input Scenario Probability
Reward if it Occurs
Output Expected Monetary
Value (EMV)
Build or Upgrade
80M
60
40
60
40
30M36M 60 (80M) +
40 (–30M)
EMV (before costs) of Build
New Plant considering demand
46M 60 (70M) +
40 (10M)
EMV (before costs) of Upgrade
Plant considering demand
Decision EMV 46M
(the larger of 36M
and 46M)
80M 200M – 120M
–30M 90M – 120M
70M 120M – 50M
10M 60M – 50M
70M
10M
Note 1 The decision tree shows how to make a decision between alternative capital strategies (represented as decision
nodes) when the environment contains uncertain elements (represented as chance nodes)
Note 2 Here a decision is being made whether to invest 120M US to build a new plant or to instead invest only 50M US
to upgrade the existing plant For each decision the demand (which is uncertain and therefore represents a
chance node) must be accounted for For example strong demand leads to 200M revenue with the new plant
but only 120M US for the upgraded plant perhaps due to capacity limitations of the upgraded plant The end of
each branch shows the net effect of the payoffs minus costs For each decision branch all effects are added (see
shaded areas) to determine the overall Expected Monetary Value (EMV) of the decision Remember to account for
the investment costs From the calculations in the shaded areas the upgraded plant has a higher EMV of 46M –
also the EMV of the overall decision (This choice also represents the lowest risk avoiding the worst case possible
outcome of a loss of 30M)
Decision Node
Chance Node
End of Branch
Strong Demand
(200M)
Weak Demand
(90M)
Strong Demand
(120M)
Weak Demand
(60M)
Build New Plant
(Invest 120M)
Upgrade Plant
(Invest 50M)
Figure 1116 Decision Tree Diagram340 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
• Modeling and simulation A project simulation uses a model that translates the specified detailed
uncertainties of the project into their potential impact on project objectives Simulations are typically
performed using the Monte Carlo technique In a simulation the project model is computed many times
(iterated) with the input values (eg cost estimates or activity durations) chosen at random for each
iteration from the probability distributions of these variables A histogram (eg total cost or completion
date) is calculated from the iterations For a cost risk analysis a simulation uses cost estimates For a
schedule risk analysis the schedule network diagram and duration estimates are used The output from a
cost risk simulation using the threeelement model and risk ranges is shown in Figure 1117 It illustrates
the respective probability of achieving specific cost targets Similar curves can be developed for other
project objectives
This cumulative distribution assuming the data ranges in Figure 1113 and triangular distributions shows that the
project is only 12 percent likely to meet the 41 million most likely cost estimate If a conservative organization wants
a 75 likelihood of success a budget of 50 million (a contingency of nearly 22 (50M 41M)41M)) is required
Total Project Cost
Cumulative Chart
Cost
100
75
50
25
0
Probability
3000M 3875M 4750M 5625M 6500M
12
Mean 4667M
41M 50M
Figure 1117 Cost Risk Simulation Results341©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
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11423 Expert Judgment
Expert judgment (ideally using experts with relevant recent experience) is required to identify potential cost
and schedule impacts to evaluate probability and to define inputs such as probability distributions into the tools
Expert judgment also comes into play in the interpretation of the data Experts should be able to identify the
weaknesses of the tools as well as their strengths Experts may determine when a specific tool may or may not be
more appropriate given the organization’s capabilities and culture
1143 Perform Quantitative Risk Analysis Outputs
11431 Project Documents Updates
Project documents are updated with information resulting from quantitative risk analysis For example risk
register updates could include
• Probabilistic analysis of the project Estimates are made of potential project schedule and cost
outcomes listing the possible completion dates and costs with their associated confidence levels
This output often expressed as a cumulative frequency distribution is used with stakeholder risk
tolerances to permit quantification of the cost and time contingency reserves Such contingency
reserves are needed to bring the risk of overrunning stated project objectives to a level acceptable to
the organization
• Probability of achieving cost and time objectives With the risks facing the project the probability
of achieving project objectives under the current plan can be estimated using quantitative risk analysis
results For instance in Figure 1117 the likelihood of achieving the cost estimate of US41 million is
about 12
• Prioritized list of quantified risks This list includes those risks that pose the greatest threat or present
the greatest opportunity to the project These include the risks that may have the greatest effect on cost
contingency and those that are most likely to influence the critical path These risks may be evaluated in
some cases through a tornado diagram generated as a result of the simulation analysis
• Trends in quantitative risk analysis results As the analysis is repeated a trend may become apparent
that leads to conclusions affecting risk responses Organizational historical information on project schedule
cost quality and performance should reflect new insights gained through the Perform Quantitative Risk
Analysis process Such history may take the form of a quantitative risk analysis report This report may
be separate from or linked to the risk register342 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
115 Plan Risk Responses
Plan Risk Responses is the process of developing options and actions to enhance opportunities and to reduce
threats to project objectives The key benefit of this process is that it addresses the risks by their priority inserting
resources and activities into the budget schedule and project management plan as needed The inputs tools and
techniques and outputs of this process are depicted in Figure 1118 Figure 1119 depicts the data flow diagram
of the process
Inputs Tools & Techniques Outputs
1 Risk management plan
2 Risk register
1 Strategies for negative
risks or threats
2 Strategies for positive
risks or opportunities
3 Contingent response
strategies
4 Expert judgment
1 Project management plan
updates
2 Project documents
updates
Figure 1118 Plan Risk Responses Inputs Tools & Techniques and Outputs
Project Risk Management
115
Plan Risk
Responses
111
Plan Risk
Management
112
Identify
Risks
• Project management
plan updates
• Project documents
updates
• Risk register• Risk management
plan
42
Develop Project
Management
Plan
Project
Documents
Figure 1119 Plan Risk Responses Data Flow Diagram343©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11
The Plan Risk Responses process follows the Perform Quantitative Risk Analysis process (if used) Each risk
response requires an understanding of the mechanism by which it will address the risk This is the mechanism
used to analyze if the risk response plan is having the desired effect It includes the identification and assignment
of one person (an owner for risk response) to take responsibility for each agreedto and funded risk response Risk
responses should be appropriate for the significance of the risk costeffective in meeting the challenge realistic
within the project context agreed upon by all parties involved and owned by a responsible person Selecting the
optimum risk response from several options is often required
The Plan Risk Responses process presents commonly used approaches to planning responses to the risks
Risks include threats and opportunities that can affect project success and responses are discussed for each
1151 Plan Risk Responses Inputs
11511 Risk Management Plan
Important components of the risk management plan include roles and responsibilities risk analysis definitions
timing for reviews (and for eliminating risks from review) and risk thresholds for low moderate and high risks Risk
thresholds help identify those risks for which specific responses are needed
11512 Risk Register
The risk register refers to identified risks root causes of risks lists of potential responses risk owners symptoms
and warning signs the relative rating or priority list of project risks risks requiring responses in the near term risks
for additional analysis and response trends in qualitative analysis results and a watch list which is a list of low
priority risks within the risk register
1152 Plan Risk Responses Tools and Techniques
Several risk response strategies are available The strategy or mix of strategies most likely to be effective
should be selected for each risk Risk analysis tools such as decision tree analysis (Section 11422) can be
used to choose the most appropriate responses Specific actions are developed to implement that strategy
including primary and backup strategies as necessary A fallback plan can be developed for implementation
if the selected strategy turns out not to be fully effective or if an accepted risk occurs Secondary risks should
also be reviewed Secondary risks are risks that arise as a direct result of implementing a risk response A
contingency reserve is often allocated for time or cost If developed it may include identification of the conditions
that trigger its use344 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11521 Strategies for Negative Risks or Threats
Three strategies which typically deal with threats or risks that may have negative impacts on project objectives
if they occur are avoid transfer and mitigate The fourth strategy accept can be used for negative risks or threats
as well as positive risks or opportunities Each of these risk response strategies have varied and unique influence
on the risk condition These strategies should be chosen to match the risk’s probability and impact on the project’s
overall objectives Avoidance and mitigation strategies are usually good strategies for critical risks with high impact
while transference and acceptance are usually good strategies for threats that are less critical and with low overall
impact The four strategies for dealing with negative risks or threats are further described as follows
• Avoid Risk avoidance is a risk response strategy whereby the project team acts to eliminate the threat or
protect the project from its impact It usually involves changing the project management plan to eliminate
the threat entirely The project manager may also isolate the project objectives from the risk’s impact or
change the objective that is in jeopardy Examples of this include extending the schedule changing the
strategy or reducing scope The most radical avoidance strategy is to shut down the project entirely
Some risks that arise early in the project can be avoided by clarifying requirements obtaining information
improving communication or acquiring expertise
• Transfer Risk transference is a risk response strategy whereby the project team shifts the impact of
a threat to a third party together with ownership of the response Transferring the risk simply gives
another party responsibility for its management—it does not eliminate it Transferring does not mean
disowning the risk by transferring it to a later project or another person without his or her knowledge or
agreement Risk transference nearly always involves payment of a risk premium to the party taking on
the risk Transferring liability for risk is most effective in dealing with financial risk exposure Transference
tools can be quite diverse and include but are not limited to the use of insurance performance bonds
warranties guarantees etc Contracts or agreements may be used to transfer liability for specified risks
to another party For example when a buyer has capabilities that the seller does not possess it may be
prudent to transfer some work and its concurrent risk contractually back to the buyer In many cases use
of a costplus contract may transfer the cost risk to the buyer while a fixedprice contract may transfer
risk to the seller345©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11
• Mitigate Risk mitigation is a risk response strategy whereby the project team acts to reduce the
probability of occurrence or impact of a risk It implies a reduction in the probability andor impact of an
adverse risk to be within acceptable threshold limits Taking early action to reduce the probability andor
impact of a risk occurring on the project is often more effective than trying to repair the damage after the
risk has occurred Adopting less complex processes conducting more tests or choosing a more stable
supplier are examples of mitigation actions Mitigation may require prototype development to reduce the
risk of scaling up from a benchscale model of a process or product Where it is not possible to reduce
probability a mitigation response might address the risk impact by targeting linkages that determine the
severity For example designing redundancy into a system may reduce the impact from a failure of the
original component
• Accept Risk acceptance is a risk response strategy whereby the project team decides to acknowledge
the risk and not take any action unless the risk occurs This strategy is adopted where it is not possible
or costeffective to address a specific risk in any other way This strategy indicates that the project
team has decided not to change the project management plan to deal with a risk or is unable to identify
any other suitable response strategy This strategy can be either passive or active Passive acceptance
requires no action except to document the strategy leaving the project team to deal with the risks as
they occur and to periodically review the threat to ensure that it does not change significantly The
most common active acceptance strategy is to establish a contingency reserve including amounts of
time money or resources to handle the risks
11522 Strategies for Positive Risks or Opportunities
Three of the four responses are suggested to deal with risks with potentially positive impacts on project objectives
The fourth strategy accept can be used for negative risks or threats as well as positive risks or opportunities These
strategies described below are to exploit share enhance and accept
• Exploit The exploit strategy may be selected for risks with positive impacts where the organization wishes
to ensure that the opportunity is realized This strategy seeks to eliminate the uncertainty associated with
a particular upside risk by ensuring the opportunity definitely happens Examples of directly exploiting
responses include assigning an organization’s most talented resources to the project to reduce the time
to completion or using new technologies or technology upgrades to reduce cost and duration required to
realize project objectives346 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
• Enhance The enhance strategy is used to increase the probability andor the positive impacts of an
opportunity Identifying and maximizing key drivers of these positiveimpact risks may increase the
probability of their occurrence Examples of enhancing opportunities include adding more resources to
an activity to finish early
• Share Sharing a positive risk involves allocating some or all of the ownership of the opportunity to a
third party who is best able to capture the opportunity for the benefit of the project Examples of sharing
actions include forming risksharing partnerships teams specialpurpose companies or joint ventures
which can be established with the express purpose of taking advantage of the opportunity so that all
parties gain from their actions
• Accept Accepting an opportunity is being willing to take advantage of the opportunity if it arises but
not actively pursuing it
11523 Contingent Response Strategies
Some responses are designed for use only if certain events occur For some risks it is appropriate for
the project team to make a response plan that will only be executed under certain predefined conditions if
it is believed that there will be sufficient warning to implement the plan Events that trigger the contingency
response such as missing intermediate milestones or gaining higher priority with a supplier should be defined
and tracked Risk responses identified using this technique are often called contingency plans or fallback plans
and include identified triggering events that set the plans in effect
11524 Expert Judgment
Expert judgment is input from knowledgeable parties pertaining to the actions to be taken on a specific and
defined risk Expertise may be provided by any group or person with specialized education knowledge skill
experience or training in establishing risk responses
1153 Plan Risk Responses Outputs
11531 Project Management Plan Updates
Elements of the project management plan that may be updated as a result of carrying out this process include
but are not limited to347©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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11
• Schedule management plan The schedule management plan is updated to reflect changes in process
and practice driven by the risk responses This may include changes in tolerance or behavior related to
resource loading and leveling as well as updates to the schedule strategy
• Cost management plan The cost management plan is updated to reflect changes in process and
practice driven by the risk responses This may include changes in tolerance or behavior related to
cost accounting tracking and reports as well as updates to the budget strategy and how contingency
reserves are consumed
• Quality management plan The quality management plan is updated to reflect changes in process
and practice driven by the risk responses This may include changes in tolerance or behavior related to
requirements quality assurance or quality control as well as updates to the requirements documentation
• Procurement management plan The procurement management plan may be updated to reflect
changes in strategy such as alterations in the makeorbuy decision or contract type(s) driven by the risk
responses
• Human resource management plan The staffing management plan part of the human resource
management plan is updated to reflect changes in project organizational structure and resource
applications driven by the risk responses This may include changes in tolerance or behavior related to
staff allocation as well as updates to the resource loading
• Scope baseline Because of new modified or omitted work generated by the risk responses the scope
baseline may be updated to reflect those changes
• Schedule baseline Because of new work (or omitted work) generated by the risk responses the schedule
baseline may be updated to reflect those changes
• Cost baseline Because of new work (or omitted work) generated by the risk responses the cost baseline
may be updated to reflect those changes
11532 Project Documents Updates
In the Plan Risk Responses process several project documents are updated as needed For example when
appropriate risk responses are chosen and agreed upon they are included in the risk register The risk register
should be written to a level of detail that corresponds with the priority ranking and the planned response Often the
high and moderate risks are addressed in detail Risks judged to be of low priority are included in a watch list for
periodic monitoring Updates to the risk register can include but are not limited to348 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
• Risk owners and assigned responsibilities
• Agreedupon response strategies
• Specific actions to implement the chosen response strategy
• Trigger conditions symptoms and warning signs of a risk occurrence
• Budget and schedule activities required to implement the chosen responses
• Contingency plans and triggers that call for their execution
• Fallback plans for use as a reaction to a risk that has occurred and the primary response proves to be
inadequate
• Residual risks that are expected to remain after planned responses have been taken as well as those that
have been deliberately accepted
• Secondary risks that arise as a direct outcome of implementing a risk response and
• Contingency reserves that are calculated based on the quantitative risk analysis of the project and the
organization’s risk thresholds
Other project documents updated could include
• Assumptions log updates As new information becomes available through the application of risk
responses assumptions could change The assumptions log needs to be revisited to accommodate this
new information
• Technical documentation updates As new information becomes available through the application
of risk responses technical approaches and physical deliverables may change Any supporting
documentation needs to be revisited to accommodate this new information
• Change requests Planning for possible risk responses can often result in recommendations for changes
to the resources activities cost estimates and other items identified during other planning processes
When such recommendations are identified change requests are generated and processed through the
Perform Integrated Change Control process349©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11
116 control risks
Control Risks is the process of implementing risk response plans tracking identified risks monitoring residual
risks identifying new risks and evaluating risk process effectiveness throughout the project The key benefit of
this process is that it improves efficiency of the risk approach throughout the project life cycle to continuously
optimize risk responses The inputs tools and techniques and outputs of this process are depicted in Figure 1120
Figure 1121 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Risk register
3 Work performance data
4 Work performance
reports
1 Risk reassessment
2 Risk audits
3 Variance and trend
analysis
4 Technical performance
measurement
5 Reserve analysis
6 Meetings
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure 1120 control risks Inputs tools & techniques and outputs
Project Risk Management
116
Control
Risks
112
Identify
Risks
• Risk register
• Project
documents
updates
• Project management
plan updates
• Organizational process
assets updates
• Work performance
reports
• Work
performance
data
• Project
management
plan
• Change requests
• Work performance
information
45
Perform
Integrated
Change Control
42
Develop Project
Management
Plan
44
Monitor and
Control Project
Work
42
Develop Project
Management
Plan
44
Monitor and
Control Project
Work
43
Direct and
Manage
Project Work
Enterprise
Organization
Project
Documents
Figure 1121 control risks data Flow diagram350 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
Planned risk responses that are included in the risk register are executed during the life cycle of the project but
the project work should be continuously monitored for new changing and outdated risks
The Control Risks process applies techniques such as variance and trend analysis which require the use of
performance information generated during project execution Other purposes of the Control Risks process are to
determine if
• Project assumptions are still valid
• Analysis shows an assessed risk has changed or can be retired
• Risk management policies and procedures are being followed and
• Contingency reserves for cost or schedule should be modified in alignment with the current risk
assessment
Control Risks can involve choosing alternative strategies executing a contingency or fallback plan taking
corrective action and modifying the project management plan The risk response owner reports periodically to the
project manager on the effectiveness of the plan any unanticipated effects and any correction needed to handle
the risk appropriately Control Risks also includes updating the organizational process assets including project
lessons learned databases and risk management templates for the benefit of future projects
1161 Control Risks Inputs
11611 Project Management Plan
Described in Section 4231 The project management plan which includes the risk management plan provides
guidance for risk monitoring and controlling
11612 Risk Register
The risk register has key inputs that include identified risks and risk owners agreedupon risk responses
control actions for assessing the effectiveness of response plans risk responses specific implementation actions
symptoms and warning signs of risk residual and secondary risks a watch list of lowpriority risks and the time
and cost contingency reserves The watch list is within the risk register and provides a list of lowpriority risks351©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
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11613 Work Performance Data
Described in Section 4332 Work performance data related to various performance results possibly impacted
by risks includes but is not limited to
• Deliverable status
• Schedule progress and
• Costs incurred
11614 Work Performance Reports
Described in Section 4432 Work performance reports take information from performance measurements
and analyze it to provide project work performance information including variance analysis earned value data and
forecasting data These data points could be impactful in controlling performance related risks
1162 Control Risks Tools and Techniques
11621 Risk Reassessment
Control Risks often results in identification of new risks reassessment of current risks and the closing of risks
that are outdated Project risk reassessments should be regularly scheduled The amount and detail of repetition
that are appropriate depends on how the project progresses relative to its objectives
11622 Risk Audits
Risk audits examine and document the effectiveness of risk responses in dealing with identified risks and their
root causes as well as the effectiveness of the risk management process The project manager is responsible for
ensuring that risk audits are performed at an appropriate frequency as defined in the project’s risk management
plan Risk audits may be included during routine project review meetings or the team may choose to hold separate
risk audit meetings The format for the audit and its objectives should be clearly defined before the audit is conducted352 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11623 Variance and Trend Analysis
Many control processes employ variance analysis to compare the planned results to the actual results For the
purposes of controlling risks trends in the project’s execution should be reviewed using performance information
Earned value analysis and other methods of project variance and trend analysis may be used for monitoring overall
project performance Outcomes from these analyses may forecast potential deviation of the project at completion
from cost and schedule targets Deviation from the baseline plan may indicate the potential impact of threats or
opportunities
11624 Technical Performance Measurement
Technical performance measurement compares technical accomplishments during project execution to the
schedule of technical achievement It requires the definition of objective quantifiable measures of technical
performance which can be used to compare actual results against targets Such technical performance measures
may include weight transaction times number of delivered defects storage capacity etc Deviation such as
demonstrating more or less functionality than planned at a milestone can help to forecast the degree of success
in achieving the project’s scope
11625 Reserve Analysis
Throughout execution of the project some risks may occur with positive or negative impacts on budget or
schedule contingency reserves Reserve analysis compares the amount of the contingency reserves remaining to
the amount of risk remaining at any time in the project in order to determine if the remaining reserve is adequate
11626 Meetings
Project risk management should be an agenda item at periodic status meetings The amount of time required
for that item will vary depending upon the risks that have been identified their priority and difficulty of response
The more often risk management is practiced the easier it becomes Frequent discussions about risk make it more
likely that people will identify risks and opportunities353©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11
1163 Control Risks Outputs
11631 Work Performance Information
Work performance information as a Control Risks output provides a mechanism to communicate and support
project decision making
11632 Change Requests
Implementing contingency plans or workarounds sometimes results in a change request Change requests are
prepared and submitted to the Perform Integrated Change Control process (Section 45) Change requests can
include recommended corrective and preventive actions as well
• Recommended corrective actions These are activities that realign the performance of the project
work with the project management plan They include contingency plans and workarounds The latter
are responses that were not initially planned but are required to deal with emerging risks that were
previously unidentified or accepted passively
• Recommended preventive actions These are activities that ensure that future performance of the
project work is aligned with the project management plan
11633 Project Management Plan Updates
If the approved change requests have an effect on the risk management processes the corresponding component
documents of the project management plan are revised and reissued to reflect the approved changes The elements
of the project management plan that may be updated are the same as those in the Plan Risk Responses process354 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11634 Project Documents Updates
Project documents that may be updated as a result of the Control Risk process include but are not limited to the
risk register Risk register updates may include
• Outcomes of risk reassessments risk audits and periodic risk reviews These outcomes may
include identification of new risks updates to probability impact priority response plans ownership and
other elements of the risk register Outcomes can also include closing risks that are no longer applicable
and releasing their associated reserves
• Actual outcomes of the project’s risks and of the risk responses This information can help project
managers to plan for risk throughout their organizations as well as on future projects
11635 Organizational Process Assets Updates
The risk management processes produce information that may be used for future projects and should be
captured in the organizational process assets The organizational process assets that may be updated include but
are not limited to
• Templates for the risk management plan including the probability and impact matrix and risk register
• Risk breakdown structure and
• Lessons learned from the project risk management activities
These documents should be updated as needed and at project closure Final versions of the risk register and the
risk management plan templates checklists and risk breakdown structure are included355©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12
PROJECT PROCUREMENT MANAGEMENT
Project Procurement Management includes the processes necessary to purchase or acquire products services
or results needed from outside the project team The organization can be either the buyer or seller of the products
services or results of a project
Project Procurement Management includes the contract management and change control processes required to
develop and administer contracts or purchase orders issued by authorized project team members
Project Procurement Management also includes controlling any contract issued by an outside organization (the
buyer) that is acquiring deliverables from the project from the performing organization (the seller) and administering
contractual obligations placed on the project team by the contract
Figure 121 provides an overview of the Project Procurement Management processes which include the
following
121 Plan Procurement Management—The process of documenting project procurement decisions
specifying the approach and identifying potential sellers
122 Conduct Procurements—The process of obtaining seller responses selecting a seller and awarding
a contract
123 Control Procurements—The process of managing procurement relationships monitoring contract
performance and making changes and corrections as appropriate
124 Close Procurements—The process of completing each project procurement
These processes interact with each other and with processes in other Knowledge Areas as described in detail
in Section 3 and Annex A1
1212356 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
1 Inputs
1 Project management plan
2 Requirements documentation
3 Risk register
4 Activity resource
requirements
5 Project schedule
6 Activity cost estimates
7 Stakeholder register
8 Enterprise environmental
factors
9 Organizational process assets
2 Tools & Techniques
1 Makeorbuy analysis
2 Expert judgment
3 Market research
4 Meetings
3 Outputs
1 Procurement management
plan
2 Procurement statement of
work
3 Procurement documents
4 Source selection criteria
5 Makeorbuy decisions
6 Change requests
7 Project documents updates
1 Inputs
1 Procurement management
plan
2 Procurement documents
3 Source selection criteria
4 Seller proposals
5 Project documents
6 Makeorbuy decisions
7 Procurement statement of
work
8 Organizational process assets
2 Tools & Techniques
1 Bidder conference
2 Proposal evaluation
techniques
3 Independent estimates
4 Expert judgment
5 Advertising
6 Analytical techniques
7 Procurement negotiations
3 Outputs
1 Selected sellers
2 Agreements
3 Resource calendars
4 Change requests
5 Project management plan
updates
6 Project documents updates
1 Inputs
1 Project management plan
2 Procurement documents
3 Agreements
4 Approved change requests
5 Work performance reports
6 Work performance data
2 Tools & Techniques
1 Contract change control
system
2 Procurement performance
reviews
3 Inspections and audits
4 Performance reporting
5 Payment systems
6 Claims administration
7 Records management system
3 Outputs
1 Work performance information
2 Change requests
3 Project management plan
updates
4 Project documents updates
5 Organizational process assets
updates
Project Procurement
Management Overview
122 Conduct
Procurements
121 Plan Procurement
Management
123 Control
Procurements
1 Inputs
1 Project management plan
2 Procurement documents
2 Tools & Techniques
1 Procurement audits
2 Procurement negotiations
3 Records management system
3 Outputs
1 Closed procurements
2 Organizational process assets
updates
124 Close Procurements
Figure 121 Project Procurement Management Overview357©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
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The Project Procurement Management processes involve agreements including contracts which are legal
documents between a buyer and a seller A contract represents a mutually binding agreement that obligates the
seller to provide something of value (eg specified products services or results) and obligates the buyer to provide
monetary or other valuable compensation An agreement can be simple or complex and may reflect the simplicity
or complexity of the deliverables or required effort
A procurement contract includes terms and conditions and may incorporate other items that the buyer
specifies as to what the seller is to perform or provide It is the project management team’s responsibility to make
certain that all procurements meet the specific needs of the project while adhering to organizational procurement
policies Depending upon the application area a contract can also be called an agreement an understanding
a subcontract or a purchase order Most organizations document policies and procedures specifically defining
the procurement rules and specifying who has authority to sign and administer such agreements on behalf of
the organization
Although all project documents may be subject to some form of review and approval the legally binding nature
of a contract or agreement usually means it will be subjected to a more extensive approval process In all cases the
primary focus of the review and approval process is to ensure that the contract language describes the products
services or results that will satisfy the identified project need
The project management team may seek support in early phases from specialists in contracting purchasing
law and technical disciplines Such involvement can be mandated by an organization’s policies
The various activities involved in the Project Procurement Management processes form the life cycle of an
agreement By actively managing the agreement life cycle and carefully wording the terms and conditions of a
procurement some identifiable project risks may be shared or transferred to a seller Entering into an agreement
for products or services is one method of allocating the responsibility for managing or sharing potential risks
A complex project may involve managing multiple contracts or subcontracts simultaneously or in sequence
In such cases each contract life cycle may end during any phase of the project life cycle Project Procurement
Management is discussed within the perspective of the buyerseller relationship The buyerseller relationship
may exist at many levels on any one project and between organizations internal to and external to the acquiring
organization
Depending on the application area the seller may be identified as a contractor subcontractor vendor service
provider or supplier Depending on the buyer’s position in the project acquisition cycle the buyer may be called a
client customer prime contractor contractor acquiring organization service requestor or purchaser The seller can
be viewed during the contract life cycle first as a bidder then as the selected source and then as the contracted
supplier or vendor358 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
The seller will typically manage the work as a project if the acquisition is not just for shelf material goods or
common products In such cases
• The buyer becomes the customer and is thus a key project stakeholder for the seller
• The seller’s project management team is concerned with all the processes of project management not
only with those of this Knowledge Area
• Terms and conditions of the contract become key inputs to many of the seller’s management processes
The contract can actually contain the inputs (eg major deliverables key milestones cost objectives)
or it can limit the project team’s options (eg buyer approval of staffing decisions is often required on
design projects)
In this section it is assumed that the buyer of an item for the project is assigned to the project team and that the
seller is organizationally external to the project team It is also assumed that a formal contractual relationship will
be developed and exists between the buyer and the seller However most of the discussion in this section is equally
applicable to noncontractual work entered into with other units of the project team’s organization
121 Plan Procurement Management
Plan Procurement Management is the process of documenting project procurement decisions specifying the
approach and identifying potential sellers The key benefit of this process is that it determines whether to acquire
outside support and if so what to acquire how to acquire it how much is needed and when to acquire it The
inputs tools and techniques and outputs of this process are depicted in Figure 122 Figure 123 depicts the data
flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Requirements
documentation
3 Risk register
4 Activity resource
requirements
5 Project schedule
6 Activity cost estimates
7 Stakeholder register
8 Enterprise environmental
factors
9 Organizational process
assets
1 Makeorbuy analysis
2 Expert judgment
3 Market research
4 Meetings
1 Procurement
management plan
2 Procurement statement
of work
3 Procurement documents
4 Source selection criteria
5 Makeorbuy decisions
6 Change requests
7 Project documents
updates
Figure 122 Plan Procurements Inputs Tools & Techniques and Outputs359©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
12
Project Procurement Management
121
Plan
Procurement
Management
42
Develop Project
Management
Plan
123
Control
Procurements
124
Close
Procurements
122
Conduct
Procurements
• Risk register
• Requirements documentation
• Project management plan
• Change
requests
• Procurement
documents
• Makeorbuy decisions
• Procurement
management plan
• Procurement
statement of work
• Source selection
criteria
• Project
documents
updates
• Activity resource
requirements
• Project schedule
• Activity cost estimates
• Stakeholder register • Organizational
process assets
• Enterprise
environmental
factors
112
Identify
Risks
131
Identify
Stakeholders
45
Perform
Integrated
Change Control
Project
Documents
Enterprise
Organization
52
Collect
Requirements
112
Identify
Risks
64
Estimate Activity
Resources
66
Develop
Schedule
72
Estimate
Costs
131
Identify
Stakeholders
Figure 123 Plan Procurement Management data Flow diagram
Plan Procurement Management identifies those project needs that can best be met or should be met by
acquiring products services or results outside of the project organization versus those project needs which can
be accomplished by the project team When the project obtains products services and results required for project
performance from outside of the performing organization the processes from Plan Procurement Management
through Close Procurements are performed for each item to be acquired360 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
The Plan Procurement Management process also includes evaluating potential sellers particularly if the buyer
wishes to exercise some degree of influence or control over acquisition decisions Thought should also be given to
who is responsible for obtaining or holding any relevant permits and professional licenses that may be required by
legislation regulation or organizational policy in executing the project
The requirements of the project schedule can significantly influence the strategy during the Plan Procurement
Management process Decisions made in developing the procurement management plan can also influence the
project schedule and are integrated with Develop Schedule Estimate Activity Resources and makeorbuy analysis
The Plan Procurement Management process includes evaluating the risks involved with each makeorbuy
analysis It also includes reviewing the type of contract planned to be used with respect to avoiding or mitigating
risks sometimes transferring risks to the seller
1211 Plan Procurement Management Inputs
12111 Project Management Plan
Described in Section 4231 The project management plan describes the need justification requirements and
current boundaries for the project It includes but is not limited to the scope baseline contents
• Project scope statement The project scope statement contains the product scope description service
description and result description the list of deliverables and acceptance criteria as well as important
information regarding technical issues or concerns that could impact cost estimating Identified
constraints may include required delivery dates available skilled resources and organizational policies
• WBS The work breakdown structure (WBS) contains the components of work that may be resourced
externally
• WBS dictionary The WBS dictionary and related detailed statements of work provide an identification
of the deliverables and a description of the work in each WBS component required to produce each
deliverable361©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12112 Requirements Documentation
Described in Section 5231 Requirements documentation may include
• Important information about project requirements that is considered during planning for procurements
and
• Requirements with contractual and legal implications that may include health safety security
performance environmental insurance intellectual property rights equal employment opportunity
licenses and permits—all of which are considered when planning for procurements
12113 Risk Register
Described in Section 11231 The risk register provides the list of risks along with the results of risk analysis
and risk response planning Updates to the risk register are included with project document updates described in
Section 11532 from the Plan Risk Responses process
12114 Activity Resource Requirements
Described in Section 6431 Activity resource requirements contain information on specific needs such as
people equipment or location
12115 Project Schedule
Described in Section 6632 Project schedule contains information on required timelines or mandated
deliverable dates
12116 Activity Cost Estimates
Described in Section 7231 Cost estimates developed by the procuring activity are used to evaluate the
reasonableness of the bids or proposals received from potential sellers
12117 Stakeholder Register
Described in Section 13131 The stakeholder register provides details on the project participants and their
interests in the project362 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
12118 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Plan Procurement
Management process include but are not limited to
• Marketplace conditions
• Products services and results that are available in the marketplace
• Suppliers including past performance or reputation
• Typical terms and conditions for products services and results or for the specific industry and
• Unique local requirements
12119 Organizational Process Assets
Described in Section 214 The various types of contractual agreements used by the organization also influence
decisions for the Plan Procurement Management process The organizational process assets that influence the Plan
Procurement Management process include but are not limited to
• Formal procurement policies procedures and guidelines Most organizations have formal procurement
policies and buying organizations When such procurement support is not available the project team
should supply both the resources and the expertise to perform such procurement activities
• Management systems that are considered in developing the procurement management plan and selecting
the contractual relationships to be used
• An established multitier supplier system of prequalified sellers based on prior experience
All legal contractual relationships generally fall into one of two broad families either fixedprice or cost
reimbursable Also there is a third hybrid type commonly in use called the time and materials contract The more
popular contract types in use are discussed below as discrete types but in practice it is not unusual to combine
one or more types into a single procurement
• Fixedprice contracts This category of contracts involves setting a fixed total price for a defined product
service or result to be provided Fixedprice contracts may also incorporate financial incentives for
achieving or exceeding selected project objectives such as schedule delivery dates cost and technical
performance or anything that can be quantified and subsequently measured Sellers under fixedprice
contracts are legally obligated to complete such contracts with possible financial damages if they do
not Under the fixedprice arrangement buyers need to precisely specify the product or services being
procured Changes in scope may be accommodated but generally with an increase in contract price363©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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○○ Firm Fixed Price Contracts (FFP) The most commonly used contract type is the FFP It is
favored by most buying organizations because the price for goods is set at the outset and
not subject to change unless the scope of work changes Any cost increase due to adverse
performance is the responsibility of the seller who is obligated to complete the effort Under
the FFP contract the buyer should precisely specify the product or services to be procured
and any changes to the procurement specification can increase the costs to the buyer
○○ Fixed Price Incentive Fee Contracts (FPIF) This fixedprice arrangement gives the buyer and
seller some flexibility in that it allows for deviation from performance with financial incentives
tied to achieving agreed upon metrics Typically such financial incentives are related to cost
schedule or technical performance of the seller Performance targets are established at the
outset and the final contract price is determined after completion of all work based on the
seller’s performance Under FPIF contracts a price ceiling is set and all costs above the price
ceiling are the responsibility of the seller who is obligated to complete the work
○○ Fixed Price with Economic Price Adjustment Contracts (FPEPA) This contract type is used
whenever the seller’s performance period spans a considerable period of years as is desired
with many longterm relationships It is a fixedprice contract but with a special provision
allowing for pre defined final adjustments to the contract price due to changed conditions such
as inflation changes or cost increases (or decreases) for specific commodities The EPA clause
needs to relate to some reliable financial index which is used to precisely adjust the final price
The FPEPA contract is intended to protect both buyer and seller from external conditions beyond
their control
• Costreimbursable contracts This category of contract involves payments (cost reimbursements) to
the seller for all legitimate actual costs incurred for completed work plus a fee representing seller profit
Costreimbursable contracts may also include financial incentive clauses whenever the seller exceeds
or falls below defined objectives such as costs schedule or technical performance targets Three of
the more common types of costreimbursable contracts in use are Cost Plus Fixed Fee (CPFF) Cost Plus
Incentive Fee (CPIF) and Cost Plus Award Fee (CPAF)
A costreimbursable contract provides the project flexibility to redirect a seller whenever the scope of
work cannot be precisely defined at the start and needs to be altered or when high risks may exist in
the effort364 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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○○ Cost Plus Fixed Fee Contracts (CPFF) The seller is reimbursed for all allowable costs for
performing the contract work and receives a fixedfee payment calculated as a percentage of
the initial estimated project costs A fee is paid only for completed work and does not change
due to seller performance Fee amounts do not change unless the project scope changes
○○ Cost Plus Incentive Fee Contracts (CPIF) The seller is reimbursed for all allowable costs for
performing the contract work and receives a predetermined incentive fee based upon achieving
certain performance objectives as set forth in the contract In CPIF contracts if the final costs
are less or greater than the original estimated costs then both the buyer and seller share costs
from the departures based upon a prenegotiated costsharing formula for example an 8020
split overunder target costs based on the actual performance of the seller
○○ Cost Plus Award Fee Contracts (CPAF) The seller is reimbursed for all legitimate costs but
the majority of the fee is earned only based on the satisfaction of certain broad subjective
performance criteria defined and incorporated into the contract The determination of fee is
based solely on the subjective determination of seller performance by the buyer and is generally
not subject to appeals
• Time and Material Contracts (T&M) Time and material contracts are a hybrid type of contractual
arrangement that contain aspects of both costreimbursable and fixedprice contracts They are often
used for staff augmentation acquisition of experts and any outside support when a precise statement
of work cannot be quickly prescribed These types of contracts resemble costreimbursable contracts in
that they can be left open ended and may be subject to a cost increase for the buyer The full value of
the agreement and the exact quantity of items to be delivered may not be defined by the buyer at the
time of the contract award Thus T&M contracts can increase in contract value as if they were cost
reimbursable contracts Many organizations require nottoexceed values and time limits placed in all
T&M contracts to prevent unlimited cost growth Conversely T&M contracts can also resemble fixed
unit price arrangements when certain parameters are specified in the contract Unit labor or material
rates can be preset by the buyer and seller including seller profit when both parties agree on the values
for specific resource categories such as senior engineers at specified rates per hour or categories of
materials at specified rates per unit365©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1212 Plan Procurement Management Tools and Techniques
12121 MakeorBuy Analysis
A makeorbuy analysis is a general management technique used to determine whether particular work can
best be accomplished by the project team or should be purchased from outside sources Sometimes a capability
may exist within the project organization but may be committed to working on other projects in which case the
project may need to source such effort from outside the organization in order to meet its schedule commitments
Budget constraints may influence makeorbuy decisions If a buy decision is to be made then a further decision
of whether to purchase or lease is also made A makeorbuy analysis should consider all related costs—both
direct costs as well as indirect support costs For example the buyside of the analysis includes both the actual
outofpocket costs to purchase the product as well as the indirect costs of supporting the purchasing process and
purchased item
Available contract types are also considered during the buy analysis The risk sharing between the buyer
and seller determines the suitable contract types while the specific contract terms and conditions formalize the
degree of risk being assumed by the buyer and seller Some jurisdictions have other types of contracts defined for
example contract types based on the obligations of the seller—not the customer—and the contract parties have
the obligation to identify the appropriate type of contract as soon as the applicable law has been agreed upon
12122 Expert Judgment
Expert judgment is often used to assess the inputs to and outputs from this process Expert purchasing judgment
can also be used to develop or modify the criteria that will be used to evaluate seller proposals Expert legal
judgment may involve the services of legal staff to assist with unique procurement issues terms and conditions
Such judgment including business and technical expertise can be applied to both the technical details of the
acquired products services or results and to various aspects of the procurement management processes
12123 Market Research
Market research includes examination of industry and specific vendor capabilities Procurement teams may
leverage information gained at conferences online reviews and a variety of sources to identify market capabilities
The team may also refine particular procurement objectives to leverage maturing technologies while balancing
risks associated with the breadth of vendors who can provide the materials or services desired366 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12124 Meetings
Research alone may not provide specific information to formulate a procurement strategy without additional
information interchange meetings with potential bidders By collaborating with potential bidders the organization
purchasing the material or service may benefit while the supplier can influence a mutually beneficial approach or
product
1213 Plan Procurement Management Outputs
12131 Procurement Management Plan
The procurement management plan is a component of the project management plan that describes how a project
team will acquire goods and services from outside the performing organization It describes how the procurement
processes will be managed from developing procurement documents through contract closure The procurement
management plan can include guidance for
• Types of contracts to be used
• Risk management issues
• Whether independent estimates will be used and whether they are needed as evaluation criteria
• Those actions the project management team can take unilaterally if the performing organization has a
prescribed procurement contracting or purchasing department
• Standardized procurement documents if needed
• Managing multiple suppliers
• Coordinating procurement with other project aspects such as scheduling and performance reporting
• Any constraints and assumptions that could affect planned procurements
• Handling the long lead times to purchase certain items from sellers and coordinating the extra time
needed to procure these items with the development of the project schedule
• Handling the makeorbuy decisions and linking them into the Estimate Activity Resources and Develop
Schedule processes367©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Setting the scheduled dates in each contract for the contract deliverables and coordinating with the
schedule development and control processes
• Identifying requirements for performance bonds or insurance contracts to mitigate some forms of project
risk
• Establishing the direction to be provided to the sellers on developing and maintaining a work breakdown
structure (WBS)
• Establishing the form and format to be used for the procurementcontract statements of work
• Identifying prequalified sellers if any to be used and
• Procurement metrics to be used to manage contracts and evaluate sellers
A procurement management plan can be formal or informal can be highly detailed or broadly framed and is
based upon the needs of each project
12132 Procurement Statement of Work
The statement of work (SOW) for each procurement is developed from the project scope baseline and defines
only that portion of the project scope that is to be included within the related contract The procurement SOW
describes the procurement item in sufficient detail to allow prospective sellers to determine if they are capable of
providing the products services or results Sufficient detail can vary based on the nature of the item the needs of
the buyer or the expected contract form Information included in a SOW can include specifications quantity desired
quality levels performance data period of performance work location and other requirements
The procurement SOW is written to be clear complete and concise It includes a description of any collateral
services required such as performance reporting or postproject operational support for the procured item In some
application areas there are specific content and format requirements for a procurement SOW Each individual
procurement item requires a SOW however multiple products or services can be grouped as one procurement
item within a single SOW
The procurement SOW can be revised and refined as required as it moves through the procurement process
until incorporated into a signed agreement368 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12133 Procurement Documents
Procurement documents are used to solicit proposals from prospective sellers Terms such as bid tender or
quotation are generally used when the seller selection decision will be based on price (as when buying commercial
or standard items) while a term such as proposal is generally used when other considerations such as technical
capability or technical approach are paramount Common terms are in use for different types of procurement
documents and may include request for information (RFI) invitation for bid (IFB) request for proposal (RFP) request
for quotation (RFQ) tender notice invitation for negotiation and invitation for seller’s initial response Specific
procurement terminology used may vary by industry and location of the procurement
The buyer structures procurement documents to facilitate an accurate and complete response from each
prospective seller and to facilitate easy evaluation of the responses These documents include a description of the
desired form of the response the relevant procurement statement of work (SOW) and any required contractual
provisions With government contracting some or all of the content and structure of procurement documents may
be defined by regulation
The complexity and level of detail of the procurement documents should be consistent with the value of and
risks associated with the planned procurement Procurement documents are required to be sufficient to ensure
consistent appropriate responses but flexible enough to allow consideration of any seller suggestions for better
ways to satisfy the same requirements
Issuing a procurement request to potential sellers to submit a proposal or bid is normally done in accordance
with the policies of the buyer’s organization which can include publication of the request in public newspapers in
trade journals in public registries or on the internet
12134 Source Selection Criteria
Source selection criteria are often included as a part of the procurement documents Such criteria are developed
and used to rate or score seller proposals and can be objective or subjective
Selection criteria may be limited to only the purchase price if the procurement item is readily available from
a number of acceptable sellers Purchase price in this context includes both the cost of the item and all ancillary
expenses such as delivery
Other selection criteria can be identified and documented to support an assessment for more complex products
services or results Some possible source selection criteria are369©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Understanding of need How well does the seller’s proposal address the procurement statement of
work
• Overall or lifecycle cost Will the selected seller produce the lowest total cost of ownership (purchase
cost plus operating cost)
• Technical capability Does the seller have or can the seller be reasonably expected to acquire the
technical skills and knowledge needed
• Risk How much risk is embedded in the statement of work how much risk will be assigned to the
selected seller and how does the seller mitigate risk
• Management approach Does the seller have or can the seller be reasonably expected to develop
management processes and procedures to ensure a successful project
• Technical approach Do the seller’s proposed technical methodologies techniques solutions and
services meet the procurement documents requirements or are they likely to provide more or less than
the expected results
• Warranty What does the seller propose to warrant for the final product and through what time period
• Financial capacity Does the seller have or can the seller reasonably be expected to obtain the necessary
financial resources
• Production capacity and interest Does the seller have the capacity and interest to meet potential
future requirements
• Business size and type Does the seller’s enterprise meet a specific category of business such as
small business (disadvantaged specific programs etc) as defined by the organization or established by
governmental agency and set forth as a condition of the agreement award
• Past performance of sellers What has been the past experience with selected sellers
• References Can the seller provide references from prior customers verifying the seller’s work experience
and compliance with contractual requirements
• Intellectual property rights Does the seller assert intellectual property rights in the work processes or
services they will use or in the products they will produce for the project
• Proprietary rights Does the seller assert proprietary rights in the work processes or services they will
use or in the products they will produce for the project370 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
12135 MakeorBuy Decisions
A makeorbuy analysis results in a decision of whether particular work can best be accomplished by the
project team or needs to be purchased from outside sources If the decision is to make the item then the
procurement plan may define processes and agreements internal to the organization A buy decision drives a
similar process of reaching agreement with a supplier for the product or services
12136 Change Requests
A decision that involves procuring goods services or resources typically requires a change request Other
decisions during procurement planning can also create the need for additional change requests Change requests
are processed for review and disposition through the Perform Integrated Change Control process (Section 45)
Changes to the project management plan its subsidiary plans and other components may result in change requests
that impact procurement actions Change requests are processed for review and disposition through the Perform
Integrated Change Control process (Section 45)
12137 Project Documents Updates
Project documents that may be updated include but are not limited to
• Requirements documentation
• Requirements traceability matrix and
• Risk register371©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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122 Conduct Procurements
Conduct Procurements is the process of obtaining seller responses selecting a seller and awarding a contract
The key benefit of this process is that it provides alignment of internal and external stakeholder expectations
through established agreements The inputs tools and techniques and outputs of this process are depicted in
Figure 124 Figure 125 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Procurement
management plan
2 Procurement documents
3 Source selection criteria
4 Seller proposals
5 Project documents
6 Makeorbuy decisions
7 Procurement statement
of work
8 Organizational process
assets
1 Bidder conference
2 Proposal evaluation
techniques
3 Independent estimates
4 Expert judgment
5 Advertising
6 Analytical techniques
7 Procurement
negotiations
1 Selected sellers
2 Agreements
3 Resource calendars
4 Change requests
5 Project management plan
updates
6 Project documents
updates
Figure 124 Conduct Procurements Inputs Tools & Techniques and Outputs372 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
• Selected sellers
Project Procurement Management
122
Conduct
Procurements
121
Plan
Procurement
Management
123
Control
Procurements
41
Develop Project
Charter
• Organizational
process assets
• Project documents
• Procurement management plan
• Procurement documents
• Source selection criteria
• Makeorbuy decisions
• Procurement statement of work
• Resource
calendars
• Change
requests
• Agreements
• Project
management
plan updates
• Project
documents
updates
• Seller proposals
65
Estimate
Activity
Durations
45
Perform
Integrated
Change Control
64
Estimate
Activity
Resources
42
Develop Project
Management
Plan
66
Develop
Schedule
73
Determine
Budget
93
Develop
Project Team
Project
Documents
Project
Documents
Enterprise
Organization
Sellers
Figure 125 conduct Procurements data Flow diagram
During the Conduct Procurements process the team will receive bids or proposals and will apply previously
defined selection criteria to select one or more sellers who are qualified to perform the work and acceptable as a
seller373©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
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On major procurement items the overall process of requesting responses from sellers and evaluating
those responses can be repeated A short list of qualified sellers can be established based on a preliminary
proposal A more detailed evaluation can then be conducted based on a more specific and comprehensive
requirements document requested from the sellers on the short list In addition tools and techniques
described here may be used alone or in combination with select sellers For example a weighting system
can be used to
• Select a single seller that will be asked to sign a standard contract and
• Establish a negotiating sequence by ranking all proposals by the weighted evaluation scores assigned to
each proposal
1221 Conduct Procurements Inputs
12211 Procurement Management Plan
Described in Section 4231 The procurement management plan describes how the procurement processes
will be managed from developing procurement documentation through contract closure
12212 Procurement Documents
Described in Section 12133 Procurement documents provide an audit trail for contracts and other
agreements
12213 Source Selection Criteria
Described in Section 12134
Source selection criteria can include information on the supplier’s required capabilities capacity delivery dates
product cost lifecycle cost technical expertise and the approach to the contract
12214 Seller Proposals
Seller proposals prepared in response to a procurement document package form the basic information that will
be used by an evaluation body to select one or more successful bidders (sellers)374 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
12215 Project Documents
Described in Section 11532 Project documents that are often considered include the riskrelated contract
decisions included within the risk register
12216 MakeorBuy Decisions
Described in Section 12135 Organizations procuring goods or services analyze the need identify resources
and then compare procurement strategies when deciding to buy Organizations also evaluate the need of buying
products versus making the items themselves Factors that influence makeorbuy decisions may include
• Core capabilities of the organization
• Value delivered by vendors meeting the need
• Risks associated with meeting the need in a costeffective manner and
• Capability internally compared with the vendor community
12217 Procurement Statement of Work
Described in Section 12132 The procurement statement of work provides suppliers with a clearly stated set
of goals requirements and outcomes from which they can provide a quantifiable response The statement of work
is a critical component of the procurement process and can be modified as needed through this process until a final
agreement is in place The statements of work may include but are not limited to
• Specifications
• Quantity desired
• Quality levels
• Performance data
• Period of performance
• Work location and
• Other requirements375©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12218 Organizational Process Assets
Described in Section 214 Elements of the organizational process assets that can influence the Conduct
Procurements process include but are not limited to
• Listings of prospective and previously qualified sellers
• Information on relevant past experience with sellers both good and bad and
• Prior agreements
Whenever a prior agreement is in place the buyer and seller roles will have already been decided by executive
management In some cases the seller may already be working under a contract funded by the buyer or jointly by
both parties The effort of the buyer and seller in this process is to collectively prepare a procurement statement
of work that will satisfy the requirements of the project The parties will then negotiate a final contract for award
1222 Conduct Procurements Tools and Techniques
12221 Bidder Conferences
Bidder conferences (sometimes called contractor conferences vendor conferences and prebid conferences)
are meetings between the buyer and all prospective sellers prior to submittal of a bid or proposal They are used
to ensure that all prospective sellers have a clear and common understanding of the procurement requirements)
and that no bidders receive preferential treatment To be fair buyers should take great care to ensure that all
prospective sellers hear every question from any individual prospective seller and every answer from the buyer
Typically fairness is addressed by techniques such as collecting questions from bidders or arranging field visits in
advance of the bidder conference Responses to questions can be incorporated into the procurement documents
as amendments
12222 Proposal Evaluation Techniques
On complex procurements where source selection will be made based on seller responses to previously defined
weighted criteria a formal evaluation review process will be defined by the buyer’s procurement policies The
evaluation committee will make their selection for approval by management prior to the award376 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12223 Independent Estimates
For many procurement items the procuring organization may elect to either prepare its own independent
estimate or have an estimate of costs prepared by an outside professional estimator to serve as a benchmark on
proposed responses Significant differences in cost estimates can be an indication that the procurement statement
of work was deficient ambiguous andor that the prospective sellers either misunderstood or failed to respond fully
to the procurement statement of work
12224 Expert Judgment
Expert judgment may be used in evaluating seller proposals The evaluation of proposals may be accomplished
by a multidiscipline review team with expertise in each of the areas covered by the procurement documents
and proposed contract This can include expertise from functional disciplines such as contracting legal finance
accounting engineering design research development sales and manufacturing
12225 Advertising
Existing lists of potential sellers often can be expanded by placing advertisements in general circulation
publications such as selected newspapers or in specialty trade publications Some organizations use online
resources to communicate solicitations to the vendor community Some government jurisdictions require public
advertising of certain types of procurement items and most government jurisdictions require public advertising or
online posting of pending government contracts
12226 Analytical Techniques
Procurements involve defining a need in such a way that vendors can bring value through their offerings To
ensure that the need can be and is met analytical techniques can help organizations identify the readiness of a
vendor to provide the desired end state determine the cost expected to support budgeting and avoid cost overruns
due to changes By examining past performance information teams may identify areas that may have more risk
and that need to be monitored closely to ensure success of the project377©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12227 Procurement Negotiations
Procurement negotiations clarify the structure requirements and other terms of the purchases so that mutual
agreement can be reached prior to signing the contract Final contract language reflects all agreements reached
Subjects covered should include responsibilities authority to make changes applicable terms and governing law
technical and business management approaches proprietary rights contract financing technical solutions overall
schedule payments and price Negotiations conclude with a contract document that can be executed by both buyer
and seller
For complex procurement items contract negotiation can be an independent process with inputs (eg issues or
an open items listing) and outputs (eg documented decisions) of its own For simple procurement items the terms
and conditions of the contract can be previously set and nonnegotiable and only need to be accepted by the seller
The project manager may not be the lead negotiator on procurements The project manager and other members
of the project management team may be present during negotiations to provide assistance and if needed to add
clarification of the project’s technical quality and management requirements
1223 Conduct Procurements Outputs
12231 Selected Sellers
The selected sellers are those who have been judged to be in a competitive range based upon the outcome
of the proposal or bid evaluation and who have negotiated a draft contract that will become the actual contract
when an award is made Final approval of all complex highvalue highrisk procurements will generally require
organizational senior management approval prior to award
12232 Agreements
A procurement agreement includes terms and conditions and may incorporate other items that the buyer
specifies regarding what the seller is to perform or provide It is the project management team’s responsibility
to make certain that all agreements meet the specific needs of the project while adhering to organizational
procurement policies Depending upon the application area an agreement can also be called an understanding
a contract a subcontract or a purchase order Regardless of the document’s complexity a contract is a mutually
binding legal agreement that obligates the seller to provide the specified products services or results and
obligates the buyer to compensate the seller A contract is a legal relationship subject to remedy in the courts
The major components in an agreement document will vary but may include the following378 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
• Statement of work or deliverables
• Schedule baseline
• Performance reporting
• Period of performance
• Roles and responsibilities
• Seller’s place of performance
• Pricing
• Payment terms
• Place of delivery
• Inspection and acceptance criteria
• Warranty
• Product support
• Limitation of liability
• Fees and retainer
• Penalties
• Incentives
• Insurance and performance bonds
• Subordinate subcontractor approvals
• Change request handling and
• Termination clause and alternative dispute resolution (ADR) mechanisms The ADR method can be decided
in advance as a part of the procurement award
12233 Resource Calendars
The quantity and availability of contracted resources and those dates on which each specific resource or
resource group can be active or idle are documented
12234 Change Requests
Change requests to the project management plan its subsidiary plans and other components are processed for
review and disposition through the Perform Integrated Change Control process (Section 45)379©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12235 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to
• Cost baseline
• Scope baseline
• Schedule baseline
• Communications management plan and
• Procurement management plan
12236 Project Documents Updates
Project documents that may be updated include but are not limited to
• Requirements documentation
• Requirements traceability documentation
• Risk register and
• Stakeholder register
123 Control Procurements
Control Procurements is the process of managing procurement relationships monitoring contract performance
and making changes and corrections to contracts as appropriate The key benefit of this process is that it ensures
that both the seller’s and buyer’s performance meets procurement requirements according to the terms of the legal
agreement The inputs tools and techniques and outputs of this process are depicted in Figure 126 Figure 127
depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Procurement documents
3 Agreements
4 Approved change
requests
5 Work performance
reports
6 Work performance data
1 Contract change control
system
2 Procurement
performance reviews
3 Inspections and audits
4 Performance reporting
5 Payment systems
6 Claims administration
7 Records management
system
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure 126 Control Procurements Inputs Tools & Techniques and Outputs380 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
Project Procurement Management
123
Control
Procurements
121
Plan
Procurement
Management
122
Conduct
Procurements
• Work performance
information
• Agreements
• Procurement documents
• Project documents
updates
• Change
requests
• Work
performance
reports
• Work performance data
• Approved change requests
• Project
management
plan
• Project
management
plan updates
• Organizational process
assets updates
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
45
Perform
Integrated
Change Control
42
Develop Project
Management
Plan
43
Direct and
Manage Project
Work
Enterprise
Organization
Project
Documents
Figure 127 control Procurements data Flow diagram
Both the buyer and the seller will administer the procurement contract for similar purposes Each are required
to ensure that both parties meet their contractual obligations and that their own legal rights are protected The legal
nature of the contractual relationship makes it imperative that the project management team is aware of the legal
implications of actions taken when controlling any procurement On larger projects with multiple providers a key
aspect of contract administration is managing interfaces among the various providers
Due to varying organizational structures many organizations treat contract administration as an administrative
function separate from the project organization While a procurement administrator may be on the project team
this individual typically reports to a supervisor from a different department This is usually true if the performing
organization is also the seller of the project to an external customer381©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
12
Control Procurements includes application of the appropriate project management processes to the contractual
relationship(s) and integration of the outputs from these processes into the overall management of the project This
integration will often occur at multiple levels when there are multiple sellers and multiple products services or
results involved The project management processes that are applied may include but are not limited to
• Direct and Manage Project Work To authorize the seller’s work at the appropriate time
• Control Quality To inspect and verify the adequacy of the seller’s product
• Perform Integrated Change Control To assure that changes are properly approved and that all those
with a need to know are aware of such changes
• Control Risks To ensure that risks are mitigated
Control Procurements also has a financial management component that involves monitoring payments to the
seller This ensures that payment terms defined within the contract are met and that seller compensation is linked
to seller progress as defined in the contract One of the principal concerns when making payments to suppliers is
that there is a close relationship of payments made to the work accomplished
The Control Procurements process reviews and documents how well a seller is performing or has performed
based on the contract and establishes corrective actions when needed This performance review may be used as
a measure of the seller’s competency for performing similar work on future projects Similar evaluations are also
carried out when it is necessary to confirm that a seller is not meeting the seller’s contractual obligations and
when the buyer contemplates corrective actions Control Procurements includes capturing the necessary details
for managing any early terminations of the contracted work (for cause convenience or default) in accordance with
the termination clause of the agreement These details are used in the Close Procurements process to terminate
the agreement
Agreements can be amended at any time prior to contract closure by mutual consent in accordance with the
change control terms of the agreement Such amendments are typically captured in writing
1231 Control Procurements Inputs
12311 Project Management Plan
Described in Section 4231 The project management plan describes how the procurement processes will be
managed from developing procurement documentation through contract closure382 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
12312 Procurement Documents
Described in Section 12133 Procurement documents contain complete supporting records for administration
of the procurement processes this includes procurement contract awards and the statement of work
12313 Agreements
Described in Section 12232 Agreements are understandings between parties including understanding of
the duties of each party
12314 Approved Change Requests
Approved change requests can include modifications to the terms and conditions of the contract including the
procurement statement of work pricing and descriptions of the products services or results to be provided All
procurementrelated changes are formally documented in writing and approved before being implemented through
the Control Procurements process
12315 Work Performance Reports
Described in Section 4432 Seller performancerelated documentation includes
• Technical documentation Sellerdeveloped technical documentation and other deliverable information
are provided in accordance with the terms of the contract
• Work performance information The seller’s performance reports indicate which deliverables have
been completed and which have not
12316 Work Performance Data
Described in Section 4332 Work performance data includes (1) the extent to which quality standards are
being satisfied (2) the costs that have been incurred or committed and (3) identification of the seller invoices
that have been paid All data are collected as part of project execution383©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1232 Control Procurements Tools and Techniques
12321 Contract Change Control System
A contract change control system defines the process by which the procurement can be modified It includes
the paperwork tracking systems dispute resolution procedures and approval levels necessary for authorizing
changes The contract change control system is integrated with the integrated change control system
12322 Procurement Performance Reviews
A procurement performance review is a structured review of the seller’s progress to deliver project scope
and quality within cost and on schedule as compared to the contract It can include a review of sellerprepared
documentation and buyer inspections as well as quality audits conducted during seller’s execution of the work
The objective of a performance review is to identify performance successes or failures progress with respect to
the procurement statement of work and contract noncompliance which allow the buyer to quantify the seller’s
demonstrated ability or inability to perform work Such reviews may take place as a part of project status reviews
which would include key suppliers
12323 Inspections and Audits
Inspections and audits required by the buyer and supported by the seller as specified in the procurement
contract can be conducted during execution of the project to verify compliance in the seller’s work processes or
deliverables If authorized by contract some inspection and audit teams can include buyer procurement personnel
12324 Performance Reporting
Work performance data and reports supplied by sellers are evaluated against the agreement requirements
Work performance information from this evaluation is then reported as appropriate Performance reporting provides
management with information about how effectively the seller is achieving the contractual objectives
12325 Payment Systems
Payments to the seller are typically processed by the accounts payable system of the buyer after
certification of satisfactory work by an authorized person on the project team All payments should be made
and documented in strict accordance with the terms of the contract384 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12326 Claims Administration
Contested changes and potential constructive changes are those requested changes where the buyer and seller
cannot reach an agreement on compensation for the change or cannot agree that a change has occurred These
contested changes are variously called claims disputes or appeals Claims are documented processed monitored
and managed throughout the contract life cycle usually in accordance with the terms of the contract If the parties
themselves do not resolve a claim it may have to be handled in accordance with alternative dispute resolution
(ADR) typically following procedures established in the contract Settlement of all claims and disputes through
negotiation is the preferred method
12327 Records Management System
A records management system is used by the project manager to manage contract and procurement
documentation and records It consists of a specific set of processes related control functions and automation
tools that are consolidated and combined as part of the project management information system (Section 4423)
The system contains a retrievable archive of contract documents and correspondence
1233 Control Procurements Outputs
12331 Work Performance Information
Work performance information provides a basis for identification of current or potential problems to support later
claims or new procurements By reporting on the performance of a vendor the organization increases knowledge
of the performance of the procurement which supports improved forecasting risk management and decision
making Performance reports also assist in the event there is a dispute with the vendor
Work performance information includes reporting compliance of contracts which provides procuring
organizations a mechanism to track specific deliverables expected and received from vendors Contract compliance
reports support improved communications with vendors so that potential issues are addressed promptly to the
satisfaction of all parties385©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12332 Change Requests
Change requests to the project management plan its subsidiary plans and other components such as the
cost baseline schedule baseline and procurement management plan may result from the Control Procurements
process Change requests are processed for review and approval through the Perform Integrated Change Control
process
Requested but unresolved changes can include direction provided by the buyer or actions taken by the seller
which the other party considers a constructive change to the contract Since any of these constructive changes may
be disputed by one party and can lead to a claim against the other party such changes are uniquely identified and
documented by project correspondence
12333 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to
• Procurement management plan The procurement management plan is updated to reflect any approved
change requests that affect procurement management including impacts to costs or schedules
• Schedule baseline If there are slippages that impact overall project performance the schedule baseline
may need to be updated to reflect the current expectations
• Cost baseline If there are changes that impact overall project costs the cost baseline may need to be
updated to reflect the current expectations
12334 Project Documents Updates
Project documents that may be updated include but are not limited to procurement documentation
Procurement documentation may include the procurement contract with all supporting schedules requested
unapproved contract changes and approved change requests Procurement documentation also includes any
sellerdeveloped technical documentation and other work performance information such as deliverables seller
performance reports and warranties financial documents including invoices and payment records and the
results of contractrelated inspections
12335 Organizational Process Assets Updates
Elements of the organizational process assets that may be updated include but are not limited to386 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
• Correspondence Contract terms and conditions often require written documentation of certain aspects of
buyerseller communications such as the need for warnings of unsatisfactory performance and requests
for contract changes or clarification This can include the reported results of buyer audits and inspections
that indicate weaknesses the seller needs to correct In addition to specific contract requirements for
documentation a complete and accurate written record of all written and oral contract communications
as well as actions taken and decisions made are maintained by both parties
• Payment schedules and requests All payments should be made in accordance with the procurement
contract terms and conditions
• Seller performance evaluation documentation Seller performance evaluation documentation is
prepared by the buyer Such performance evaluations document the seller’s ability to continue to perform
work on the current contract indicate if the seller can be allowed to perform work on future projects
or rate how well the seller is performing the project work These documents may form the basis for
early termination of the seller’s contract or determine how contract penalties fees or incentives are
administered The results of these performance evaluations can also be included in the appropriate
qualified seller lists
124 Close Procurements
Close Procurements is the process of completing each procurement The key benefit of this process is that
it documents agreements and related documentation for future reference The inputs tools and techniques and
outputs of this process are depicted in Figure 128 Figure 129 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Procurement documents
1 Procurement audits
2 Procurement
negotiations
3 Records management
system
1 Closed procurements
2 Organizational process
assets updates
Figure 128 Close Procurements Inputs Tools & Techniques and Outputs387©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Project Procurement Management
124
Close
Procurements
121
Plan
Procurement
Management
• Organizational
process assets
updates
• Procurement
documents
• Project
management
plan
• Closed
procurements
42
Develop Project
Management
Plan
Enterprise
Organization
Figure 129 Close Procurements Data Flow Diagram
The Close Procurements process also involves administrative activities such as finalizing open claims updating
records to reflect final results and archiving such information for future use Close Procurements addresses each
contract applicable to the project or a project phase In multiphase projects the term of a contract may only be
applicable to a given phase of the project In these cases the Close Procurements process closes the procurement(s)
applicable to that phase of the project Unresolved claims may be subject to litigation after closure The contract
terms and conditions can prescribe specific procedures for agreement closure The Close Procurements process
supports the Close Project or Phase process (Section 46) by ensuring contractual agreements are completed or
terminated
Early termination of a contract is a special case of procurement closure that can result from a mutual agreement
by both parties from the default of one party or for convenience of the buyer if provided for in the contract The
rights and responsibilities of the parties in the event of an early termination are contained in the terminations clause
of the contract Based upon those procurement terms and conditions the buyer may have the right to terminate
the whole contract or a portion of the contract at any time for cause or convenience However based upon those
contract terms and conditions the buyer may have to compensate the seller for seller’s preparations and for any
completed and accepted work related to the terminated part of the contract388 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
1241 Close Procurements Inputs
12411 Project Management Plan
Described in Section 4231 The project management plan contains the procurement management plan which
provides the details and guidelines for closing out procurements
12412 Procurement Documents
To close the contract all procurement documentation is collected indexed and filed Information on contract
schedule scope quality and cost performance along with all contract change documentation payment records
and inspection results are cataloged This information can be used for lessons learned information and as a basis
for evaluating contractors for future contracts
1242 Close Procurements Tools and Techniques
12421 Procurement Audits
A procurement audit is a structured review of the procurement process originating from the Plan Procurement
Management process through Control Procurements The objective of a procurement audit is to identify successes
and failures that warrant recognition in the preparation or administration of other procurement contracts on the
project or on other projects within the performing organization
12422 Procurement Negotiations
In all procurement relationships the final equitable settlement of all outstanding issues claims and disputes by
negotiation is a primary goal Whenever settlement cannot be achieved through direct negotiation some form of
alternative dispute resolution (ADR) including mediation or arbitration may be explored When all else fails litigation
in the courts is the least desirable option389©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
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12423 Records Management System
Described in Section 12327 A records management system is used by the project manager to manage
contract and procurement documentation and records Contract documents and correspondence are archived
through the records management system as part of the Close Procurements process
1243 Close Procurements Outputs
12431 Closed Procurements
The buyer usually through its authorized procurement administrator provides the seller with formal written
notice that the contract has been completed Requirements for formal procurement closure are usually defined in
the terms and conditions of the contract and are included in the procurement management plan
12432 Organizational Process Assets Updates
Elements of the organizational process assets that may be updated include but are not limited to
• Procurement file A complete set of indexed contract documentation including the closed contract is
prepared for inclusion with the final project files
• Deliverable acceptance Documentation of formal acceptance of sellerprovided deliverables may be
required to be retained by the organization The Close Procurement process ensures this documentation
requirement is satisfied Requirements for formal deliverable acceptance and how to address
nonconforming deliverables are usually defined in the agreement
• Lessons learned documentation Lessons learned what has been experienced and process
improvement recommendations should be developed for the project file to improve future procurements391©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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PROJECT STAKEHOLDER MANAGEMENT
Project Stakeholder Management includes the processes required to identify the people groups or
organizations that could impact or be impacted by the project to analyze stakeholder expectations and their
impact on the project and to develop appropriate management strategies for effectively engaging stakeholders
in project decisions and execution Stakeholder management also focuses on continuous communication with
stakeholders to understand their needs and expectations addressing issues as they occur managing conflicting
interests and fostering appropriate stakeholder engagement in project decisions and activities Stakeholder
satisfaction should be managed as a key project objective
Figure 131 provides an overview of the Project Stakeholder Management processes that include the following
131 Identify Stakeholders—The process of identifying the people groups or organizations that
could impact or be impacted by a decision activity or outcome of the project and analyzing and
documenting relevant information regarding their interests involvement interdependencies
influence and potential impact on project success
132 Plan Stakeholder Management—The process of developing appropriate management strategies to
effectively engage stakeholders throughout the project life cycle based on the analysis of their needs
interests and potential impact on project success
133 Manage Stakeholder Engagement—The process of communicating and working with stakeholders
to meet their needsexpectations address issues as they occur and foster appropriate stakeholder
engagement in project activities throughout the project life cycle
134 Control Stakeholder Engagement—The process of monitoring overall project stakeholder
relationships and adjusting strategies and plans for engaging stakeholders
These processes interact with each other and with processes in other Knowledge Areas as described in detail
in Section 3 and Annex A1
Every project will have stakeholders who are impacted by or can impact the project in a positive or negative way
While some stakeholders may have a limited ability to influence the project others may have significant influence
on the project and its expected outcomes The ability of the project manager to correctly identify and manage these
stakeholders in an appropriate manner can mean the difference between success and failure
1313392 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
1 Inputs
1 Project charter
2 Procurement documents
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Stakeholder analysis
2 Expert judgment
3 Meetings
3 Outputs
1 Stakeholder register
1 Inputs
1 Project management plan
2 Stakeholder register
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Meetings
3 Analytical techniques
3 Outputs
1 Stakeholder management
plan
2 Project documents updates
1 Inputs
1 Stakeholder management plan
2 Communications management
plan
3 Change log
4 Organizational process assets
2 Tools & Techniques
1 Communication methods
2 Interpersonal skills
3 Management skills
3 Outputs
1 Issue log
2 Change requests
3 Project management plan
updates
4 Project documents updates
5 Organizational process assets
updates
Project Stakeholder
Management Overview
132 Plan Stakeholder
Management
131 Identify
Stakeholders
1 Inputs
1 Project management plan
2 Issue log
3 Work performance data
4 Project documents
2 Tools & Techniques
1 Information management
systems
2 Expert judgment
3 Meetings
3 Outputs
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents updates
5 Organizational process assets
updates
134 Control Stakeholder
Engagement
133 Manage Stakeholder
Engagement
Figure 131 Project Stakeholder Management Overview393©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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131 Identify Stakeholders
Identify Stakeholders is the process of identifying the people groups or organizations that could impact or
be impacted by a decision activity or outcome of the project analyzing and documenting relevant information
regarding their interests involvement interdependencies influence and potential impact on project success The
key benefit of this process is that it allows the project manager to identify the appropriate focus for each stakeholder
or group of stakeholders The inputs tools and techniques and outputs of this process are depicted in Figure 132
Figure 133 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project charter
2 Procurement documents
3 Enterprise environmental
factors
4 Organizational process
assets
1 Stakeholder analysis
2 Expert judgment
3 Meetings
1 Stakeholder register
Figure 132 Identify Stakeholders Inputs tools & techniques and outputs
Project Stakeholder Management
131
Identify
Stakeholders
132
Plan
Stakeholder
Management
• Procurement
documents
• Project charter
• Stakeholder
register
• Stakeholder
register
• Organizational
process assets
• Enterprise
environmental
factors
101
Plan
Communications
Management
121
Plan
Procurement
Management
121
Plan
Procurement
Management
41
Develop Project
Charter
52
Collect
Requirements
81
Plan Quality
Management
111
Plan Risk
Management
112
Identify
Risks
Enterprise
Organization
Figure 133 Identify Stakeholders data Flow diagram394 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
Project stakeholders are individuals groups or organizations who may affect be affected by or perceive
themselves to be affected by a decision activity or outcome of a project They are comprised of persons and
organizations such as customers sponsors the performing organization and the public who are actively involved
in the project or whose interests may be positively or negatively affected by the execution or completion of the
project They may also exert influence over the project and its deliverables Stakeholders may be at different
levels within the organization and may possess different authority levels or may be external to the performing
organization for the project Section 13121 identifies various types of project stakeholders
It is critical for project success to identify the stakeholders early in the project or phase and to analyze their
levels of interest their individual expectations as well as their importance and influence This initial assessment
should be reviewed and updated regularly Most projects will have a diverse number of stakeholders depending
on their size type and complexity While the project manager’s time is limited and should be used as efficiently
as possible these stakeholders should be classified according to their interest influence and involvement in the
project taking into consideration the fact that the affect or influence of a stakeholder may not occur or become
evident until later stages in the project or phase This enables the project manager to focus on the relationships
necessary to ensure the success of the project
1311 Identify Stakeholders Inputs
13111 Project Charter
Described in Section 4131 The project charter can provide information about internal and external parties
related with the project and affected by the result or the execution of the project such as project sponsor(s)
customers team members groups and departments participating in the project and other people or organizations
affected by the project
13112 Procurement Documents
Described in Section 12133 If a project is the result of a procurement activity or is based on an established
contract the parties in that contract are key project stakeholders Other relevant parties such as suppliers should
also be considered as part of the project stakeholder list395©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
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13113 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Identify Stakeholders
process include but are not limited to
• Organizational culture and structure
• Governmental or industry standards (eg regulations product standards) and
• Global regional or local trends and practices or habits
13114 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Identify Stakeholders
process include but are not limited to
• Stakeholder register templates
• Lessons learned from previous projects or phases and
• Stakeholder registers from previous projects
1312 Identify Stakeholders Tools and Techniques
13121 Stakeholder Analysis
Stakeholder analysis is a technique of systematically gathering and analyzing quantitative and qualitative
information to determine whose interests should be taken into account throughout the project It identifies the
interests expectations and influence of the stakeholders and relates them to the purpose of the project It also
helps to identify stakeholder relationships (with the project and with other stakeholders) that can be leveraged
to build coalitions and potential partnerships to enhance the project’s chance of success along with stakeholder
relationships that need to be influenced differently at different stages of the project or phase396 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
Stakeholder analysis generally follows the steps described below
• Identify all potential project stakeholders and relevant information such as their roles departments
interests knowledge expectations and influence levels Key stakeholders are usually easy to identify
They include anyone in a decisionmaking or management role who is impacted by the project outcome
such as the sponsor the project manager and the primary customer Identifying other stakeholders is
usually done by interviewing identified stakeholders and expanding the list until all potential stakeholders
are included
• Analyze the potential impact or support each stakeholder could generate and classify them so as to define
an approach strategy In large stakeholder communities it is important to prioritize the stakeholders to
ensure the efficient use of effort to communicate and manage their expectations
• Assess how key stakeholders are likely to react or respond in various situations in order to plan how to
influence them to enhance their support and mitigate potential negative impacts
There are multiple classification models used for stakeholders analysis such as
• Powerinterest grid grouping the stakeholders based on their level of authority (power) and their level
or concern (interest) regarding the project outcomes
• Powerinfluence grid grouping the stakeholders based on their level of authority (power) and their
active involvement (influence) in the project
• Influenceimpact grid grouping the stakeholders based on their active involvement (influence) in the
project and their ability to effect changes to the project’s planning or execution (impact) and
• Salience model describing classes of stakeholders based on their power (ability to impose their will)
urgency (need for immediate attention) and legitimacy (their involvement is appropriate)
Figure 134 presents an example of a powerinterest grid with AH representing the placement of generic
stakeholders397©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
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Keep
Satisfied
Manage
Closely
• B
• H
• F• A
• G • C
• E• D
Monitor Keep
Informed
High
Power
Low
Low Interest High
Figure 134 Example PowerInterest Grid with Stakeholders
13122 Expert Judgment
To ensure comprehensive identification and listing of stakeholders judgment and expertise should be sought
from groups or individuals with specialized training or subject matter expertise such as
• Senior management
• Other units within the organization
• Identified key stakeholders398 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
• Project managers who have worked on projects in the same area (directly or through lessons learned)
• Subject matter experts (SMEs) in the business or project area
• Industry groups and consultants and
• Professional and technical associations regulatory bodies and nongovernmental organizations (NGOs)
Expert judgment can be obtained through individual consultations (oneonone meetings interviews etc) or
through a panel format (focus groups surveys etc)
13123 Meetings
Profile analysis meetings are project meetings designed to develop an understanding of major project
stakeholders and they can be used to exchange and analyze information about roles interests knowledge and the
overall position of each stakeholder facing the project
1313 Identify Stakeholders Outputs
13131 Stakeholder Register
The main output of the Identify Stakeholders process is the stakeholder register This contains all details related
to the identified stakeholders including but not limited to
• Identification information Name organizational position location role in the project contact
information
• Assessment information Major requirements main expectations potential influence in the project
phase in the life cycle with the most interest and
• Stakeholder classification Internalexternal supporterneutralresistor etc
The stakeholder register should be consulted and updated on a regular basis as stakeholders may change—or
new ones identified—throughout the life cycle of the project399©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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132 Plan Stakeholder Management
Plan Stakeholder Management is the process of developing appropriate management strategies to effectively
engage stakeholders throughout the project life cycle based on the analysis of their needs interests and potential
impact on project success The key benefit of this process is that it provides a clear actionable plan to interact with
project stakeholders to support the project’s interests The inputs tools and techniques and outputs of this process
are depicted in Figure 135 Figure 136 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Stakeholder register
3 Enterprise environmental
factors
4 Organizational process
assets
1 Expert judgment
2 Meetings
3 Analytical techniques
1 Stakeholder management
plan
2 Project documents
updates
Figure 135 Plan Stakeholder Management Inputs Tools & Techniques and Outputs
Project Stakeholder Management
131
Identify
Stakeholders
• Stakeholder
management
plan
• Project
documents
updates
• Stakeholder
register• Organizational
process assets
• Enterprise
environmental
factors
• Project
management
plan
52
Collect
Requirements
42
Develop Project
Management
Plan
Enterprise
Organization
Project
Documents
132
Plan
Stakeholder
Management
133
Manage
Stakeholder
Engagement
Figure 136 Plan Stakeholder Management Data Flow Diagram400 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
Plan Stakeholder Management identifies how the project will affect stakeholders which then allows the
project manager to develop various ways to effectively engage stakeholders in the project to manage their
expectations and to ultimately achieving the project objectives Stakeholder management is more than improving
communications and requires more than managing a team Stakeholder management is about creation and
maintenance of relationships between the project team and stakeholders with the aim to satisfy their respective
needs and requirements within project boundaries
This process generates the stakeholder management plan which contains detailed plans on how effective
stakeholder management can be realized As the project progresses the membership of the stakeholder community
and required level of engagement may change therefore stakeholder management planning is an iterative process
that is reviewed on a regular basis by the project manager
1321 Plan Stakeholder Management Inputs
13211 Project Management Plan
Described in Section 4231 The information used for the development of the stakeholder management plan
includes but is not limited to
• Life cycle selected for the project and the processes that will be applied to each phase
• Description of how work will be executed to accomplish the project objectives
• Description of how human resources requirements will be met and how roles and responsibilities
reporting relationships and staffing management will be addressed and structured for the project
• Change management plan that documents how changes will be monitored and controlled and
• Need and techniques for communication among stakeholders
13212 Stakeholder Register
Described in Section 13131 The stakeholder register provides the information needed to plan appropriate
ways to engage project stakeholders401©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13
13213 Enterprise Environmental Factors
Described in Section 215 All enterprise environmental factors are used as inputs to this process because
the management of stakeholders should be adapted to the project environment Of these organizational culture
structure and political climate are of particular importance because they help in determining the best options to
support a better adaptive process for managing stakeholders
13214 Organizational Process Assets
Described in Section 214 All organizational process assets are used as inputs for the Plan Stakeholder
Management process Of these lessons learned database and historical information are of particular importance
because they provide insights on previous stakeholder management plans and their effectiveness These can be
used to plan the stakeholder management activities for the current project
1322 Plan Stakeholder Management Tools and Techniques
13221 Expert Judgment
Based on the project objectives the project manager should apply expert judgment to decide upon the level of
engagement required at each stage of the project from each stakeholder For example at the beginning of a project
it may be necessary for senior stakeholders to be highly engaged in order to clear away any obstacles to success
Once these have been successfully removed it may be sufficient for senior stakeholders to change their level of
engagement from leading to supportive and other stakeholders such as end users may become more important
In order to create the stakeholder management plan judgment and expertise should be sought from groups
or individuals with specialized training or subject matter expertise or insight into the relationships within the
organization such as
• Senior management
• Project team members
• Other units or individuals within the organization
• Identified key stakeholders402 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
• Project managers who have worked on projects in the same area (directly or through lessons learned)
• Subject matter experts in business or project area
• Industry groups and consultants and
• Professional and technical associations regulatory bodies and nongovernmental organization (NGOs)
Expert judgment can be obtained through individual consultations (oneonone meetings interviews etc) or
through a panel format (focus groups surveys etc)
13222 Meetings
Meetings should be held with experts and the project team to define the required engagement levels of all
stakeholders This information can be used to prepare the stakeholder management plan
13223 Analytical Techniques
The current engagement level of all stakeholders needs to be compared to the planned engagement levels
required for successful project completion Stakeholder engagement throughout the life cycle of the project is
critical to project success
The engagement level of the stakeholders can be classified as follows
• Unaware Unaware of project and potential impacts
• Resistant Aware of project and potential impacts and resistant to change
• Neutral Aware of project yet neither supportive nor resistant
• Supportive Aware of project and potential impacts and supportive to change
• Leading Aware of project and potential impacts and actively engaged in ensuring the project is
a success
The current engagement can be documented using Stakeholders Engagement Assessment Matrix as shown in
Figure 137 where C indicates the current engagement and D indicates the desired engagement The project team
needs to identify the desired engagement level for the current phase of the project based on available information
The example in Figure 137 shows that stakeholder 3 is at the desired engagement level while stakeholders
1 and 2 require further communications and additional actions to move them to the desired level of engagement403©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13
LeadingNeutralResistantUnawareStakeholder Supportive
Stakeholder 1
Stakeholder 2
Stakeholder 3
C
C
D
D
D C
Figure 137 Stakeholders Engagement Assessment Matrix
Through this analytical process gaps between the current and desired engagement levels can be identified
Actions and communications required to close these gaps can be identified by the project team using expert
judgment
1323 Plan Stakeholder Management Outputs
13231 Stakeholder Management Plan
The stakeholder management plan is a component of the project management plan (Section 4231) and
identifies the management strategies required to effectively engage stakeholders The stakeholder management
plan can be formal or informal highly detailed or broadly framed based on the needs of the project
In addition to the data gathered in the stakeholder register the stakeholder management plan often provides
• Desired and current engagement levels of key stakeholders
• Scope and impact of change to stakeholders
• Identified interrelationships and potential overlap between stakeholders
• Stakeholder communication requirements for the current project phase
• Information to be distributed to stakeholders including language format content and level of detail
• Reason for the distribution of that information and the expected impact to stakeholder engagement
• Time frame and frequency for the distribution of required information to stakeholders and
• Method for updating and refining the stakeholder management plan as the project progresses and
develops404 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
Project managers should be aware of the sensitive nature of the stakeholder management plan and take
appropriate precautions For example information on stakeholders who are resistant to the project can be potentially
damaging and due consideration should be given regarding the distribution of such information When updating
the stakeholder management plan the validity of underlying assumptions should be reviewed to ensure continued
accuracy and relevancy
13232 Project Documents Updates
Project documents that may be updated include but are not limited to
• Project schedule and
• Stakeholder register
133 Manage Stakeholder Engagement
Manage Stakeholder Engagement is the process of communicating and working with stakeholders to meet
their needsexpectations address issues as they occur and foster appropriate stakeholder engagement in project
activities throughout the project life cycle The key benefit of this process is that it allows the project manager
to increase support and minimize resistance from stakeholders significantly increasing the chances to achieve
project success The inputs tools and techniques and outputs of this process are depicted in Figure 138 Figure
139 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Stakeholder management
plan
2 Communications
management plan
3 Change log
4 Organizational process
assets
1 Communication methods
2 Interpersonal skills
3 Management skills
1 Issue log
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure 138 Manage Stakeholder Engagement Inputs Tools & Techniques and Outputs405©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13
Project Stakeholder Management
132
Plan
Stakeholder
Management
• Issue log
• Change requests
• Project
documents
updates
• Project
management
plan updates
• Stakeholder
management
plan
• Change log
• Communications
management
plan
• Organizational process
assets updates
• Organizational
process
assets
45
Perform
Integrated
Change Control
101
Plan
Communications
Management
45
Perform
Integrated
Change Control
42
Develop Project
Management
Plan
94
Manage
Project
Team
Enterprise
Organization
Project
Documents
133
Manage
Stakeholder
Engagement
103
Control
Communications
134
Control
Stakeholder
Engagement
Figure 139 Manage Stakeholder Engagement Data Flow Diagram
Manage Stakeholder Engagement involves activities such as
• Engaging stakeholders at appropriate project stages to obtain or confirm their continued commitment to
the success of the project
• Managing stakeholder expectations through negotiation and communication ensuring project goals are
achieved
• Addressing potential concerns that have not yet become issues and anticipating future problems that
may be raised by stakeholders Such concerns need to be identified and discussed as soon as possible
to assess associated project risks and
• Clarifying and resolving issues that have been identified406 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
Managing stakeholder engagement helps to increase the probability of project success by ensuring that
stakeholders clearly understand the project goals objectives benefits and risks This enables them to be active
supporters of the project and to help guide activities and project decisions By anticipating people’s reactions to the
project proactive actions can be taken to win support or minimize negative impacts
The ability of stakeholders to influence the project is typically highest during the initial stages and
gets progressively lower as the project progresses The project manager is responsible for engaging and
managing the various stakeholders in a project and may call upon the project sponsor to assist as needed
Active management of stakeholder involvement decreases the risk of the project failing to meet its goals and
objectives
1331 Manage Stakeholder Engagement Inputs
13311 Stakeholder Management Plan
Described in Section 13231 The stakeholder management plan provides guidance on how the various
stakeholders can be best involved in the project The stakeholder management plan describes the methods and
technologies used for stakeholder communication
This plan is used to determine the level of interactions of various stakeholders and—together with other
documents—helps define a strategy for identifying and managing stakeholders throughout the project life cycle
13312 Communications Management Plan
Described in Section 10131 The communications management plan provides guidance and information on
managing stakeholder expectations The information used includes but is not limited to
• Stakeholder communications requirements
• Information to be communicated including language format content and level of detail
• Reason for distribution of information
• Person or groups who will receive information and
• Escalation process407©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13
13313 Change Log
Described in Section 4532 A change log is used to document changes that occur during a project These
changes—and their impact on the project in terms of time cost and risk—are communicated to the appropriate
stakeholders
13314 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Manage Stakeholder
Engagement process include but are not limited to
• Organizational communication requirements
• Issue management procedures
• Change control procedures and
• Historical information about previous projects
1332 Manage Stakeholder Engagement Tools and Techniques
13321 Communication Methods
Described in Section 10124 The methods of communication identified for each stakeholder in the
communications management plan are utilized during stakeholder engagement management Based on the
stakeholders’ communication requirements the project manager decides how when and which of these
communication methods are to be used in the project
13322 Interpersonal Skills
The project manager applies interpersonal skills to manage stakeholders’ expectations For example
• Building trust
• Resolving conflict
• Active listening and
• Overcoming resistance to change408 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13323 Management Skills
The project manager applies management skills to coordinate and harmonize the group toward accomplishing
the project objectives For example
• Facilitate consensus toward project objectives
• Influence people to support the project
• Negotiate agreements to satisfy the project needs and
• Modify organizational behavior to accept the project outcomes
1333 Manage Stakeholder Engagement Outputs
13331 Issue Log
Managing stakeholder engagement may result in the development of an issue log This log is updated as new
issues are identified and current issues are resolved
13332 Change Requests
Managing stakeholder engagement may result in a change request to the product or the project It may also
include corrective or preventive actions to the project itself or to the interaction with the impacted stakeholders as
appropriate
13333 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to the stakeholder
management plan This plan is updated when new or changed stakeholders requirements are identified For
example some communications may no longer be necessary an ineffective communication method may be
replaced by another method or a new communication requirement may be identified It is also updated as a result
of addressing concerns and resolving issues For example it may be determined that a stakeholder has additional
informational needs409©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13
13334 Project Documents Updates
Project documents that may be updated include but are not limited to the stakeholder register This is updated
as information on stakeholders change when new stakeholders are identified or if registered stakeholders are no
longer involved in or impacted by the project or other updates for specific stakeholders are required
13335 Organizational Process Assets Updates
The organizational process assets that may be updated include but are not limited to
• Stakeholder notifications Information may be provided to stakeholders about resolved issues approved
changes and general project status
• Project reports Formal and informal project reports describe project status and include lessons learned
issue logs project closure reports and outputs from other Knowledge Areas (Sections 412)
• Project presentations Information formally or informally provided by the project team to any or all
project stakeholders
• Project records Project records include correspondence memos meeting minutes and other
documents describing the project
• Feedback from stakeholders Information received from stakeholders concerning project operations
can be distributed and used to modify or improve future performance of the project
• Lessons learned documentation Documentation includes the root cause analysis of issues faced
reasoning behind the corrective action chosen and other types of lessons learned about stakeholder
management Lessons learned are documented and distributed and become part of the historical
database for both the project and the performing organization
134 Control Stakeholder Engagement
Control Stakeholder Engagement is the process of monitoring overall project stakeholder relationships and
adjusting strategies and plans for engaging stakeholders The key benefit of this process is that it will maintain
or increase the efficiency and effectiveness of stakeholder engagement activities as the project evolves and its
environment changes The inputs tools and techniques and outputs of this process are depicted in Figure 1310
Figure 1311 depicts the data flow diagram of the process410 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
Inputs Tools & Techniques Outputs
1 Project management plan
2 Issue log
3 Work performance data
4 Project documents
1 Information management
systems
2 Expert judgment
3 Meetings
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure 1310 Control Stakeholder Engagement Inputs Tools & Techniques and Outputs
Project Stakeholder Management
133
Manage
Stakeholder
Engagement
• Change
requests
• Work performance
information
• Organizational
process assets
updates
• Issue log
• Project management
plan updates
• Project management
plan
• Work
performance
data
• Project
documents
• Project documents updates
42
Develop Project
Management
Plan
43
Direct and
Manage Project
Work
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
Enterprise
Organization
Project
Documents
134
Control
Stakeholder
Engagement
Figure 1311 Control Stakeholder Engagement Data Flow Diagram
Stakeholder engagement activities are included in the stakeholder management plan and are executed during
the life cycle of the project Stakeholder engagement should be continuously controlled411©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13
1341 Control Stakeholder Engagement Inputs
13411 Project Management Plan
Described in Section 4231 The project management plan is used to develop the stakeholder management
plan as described in Section 13131 The information used to Control Stakeholder Engagement includes but is
not limited to
• The life cycle selected for the project and the processes that will be applied to each phase
• How work will be executed to accomplish the project objectives
• How human resources requirements will be met how roles and responsibilities reporting relationships
and staffing management will be addressed and structured for the project
• A change management plan that documents how changes will be monitored and controlled and
• Needs and techniques for communication among stakeholders
13412 Issue Log
Described in Section 13331 The issue log is updated as new issues are identified and current issues are
resolved
13413 Work Performance Data
Described in Section 4332 The work performance data are the primary observations and measurements
identified during activities being performed to carry out the project work Various measurements on project
activities and deliverables are collected during various controlling processes Data are often viewed as the
lowest level of abstraction from which information is derived by other processes
Examples of work performance data include reported percentage of work completed technical performance
measures start and finish dates of schedule activities number of change requests number of defects actual costs
actual durations etc
13414 Project Documents
Multiple project documents originating from initiation planning execution or control processes may be used as
supporting inputs for controlling stakeholder engagement These include but are not limited to412 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
• Project schedule
• Stakeholder register
• Issue log
• Change log and
• Project communications
1342 Control Stakeholder Engagement Tools and Techniques
13421 Information Management Systems
An information management system provides a standard tool for the project manager to capture store
and distribute information to stakeholders about the project cost schedule progress and performance It also
allows the project manager to consolidate reports from several systems and facilitate report distribution to
the project stakeholders Examples of distribution formats may include table reporting spreadsheet analysis
and presentations Graphical capabilities can be used to create visual representations of project performance
information
13422 Expert Judgment
To ensure comprehensive identification and listing of new stakeholders reassessment of current stakeholders
can be performed Input should be sought from groups or individuals with specialized training or subject matter
expertise such as
• Senior management
• Other units or individuals within the organization
• Identified key stakeholders
• Project managers who have worked on projects in the same area (directly or through lessons learned)
• Subject matter experts in the business or project area
• Industry groups and consultants and
• Professional and technical associations regulatory bodies and nongovernmental organizations
Expert judgment can be obtained through individual consultations (such as oneonone meetings or interviews)
or through a panel format (such as focus groups or surveys)413©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13
13423 Meetings
Status review meetings are used to exchange and analyze information about stakeholder engagement
1343 Control Stakeholder Engagement Outputs
13431 Work Performance Information
The work performance information is the performance data collected from various controlling processes
analyzed in context and integrated based on relationships across areas Thus work performance data have been
transformed into work performance information Data per se are not used in the decisionmaking process because
the meaning may be misinterpreted Information however is correlated and contextualized and provides a sound
foundation for project decisions
Work performance information is circulated through communication processes Examples of performance
information are status of deliverables implementation status for change requests and forecasted estimates to
complete
13432 Change Requests
Analysis of project performance and interactions with stakeholders often generates change requests These
change requests are processed through the Perform Integrated Change Control process (Section 45) as follows
• Recommended corrective actions include changes that bring the expected future performance of the
project in line with the project management plan and
• Recommended preventive actions can reduce the probability of incurring future negative project
performance
13433 Project Management Plan Updates
As stakeholders engage with the project the overall effectiveness of the stakeholder management strategy
can be evaluated As needed changes in approach or strategy are identified affected sections of the project
management plan may need to be updated to reflect these changes Elements of the project management plan that
may be updated include but are not limited to the414 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
• Change management plan
• Communications management plan
• Cost management plan
• Human resource management plan
• Procurement management plan
• Quality management plan
• Requirements management plan
• Risk management plan
• Schedule management plan
• Scope management plan and
• Stakeholder management plan
13434 Project Documents Updates
Project documents that may be updated include but are not limited to
• Stakeholder register This is updated as information on stakeholders change when new stakeholders
are identified or if registered stakeholders are no longer involved in or impacted by the project or other
updates for specific stakeholders are required
• Issue log This is updated as new issues are identified and current issues are resolved415©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13
13435 Organizational Process Assets Updates
The organizational process assets which may be updated include but are not limited to
• Stakeholder notifications Information may be provided to stakeholders about resolved issues approved
changes and general project status
• Project reports Formal and informal project reports describe project status and include lessons learned
issue logs project closure reports and outputs from other Knowledge Areas (Sections 412)
• Project presentations Information formally or informally provided by the project team to any or all
project stakeholders
• Project records Project records include correspondence memos meeting minutes and other documents
describing the project
• Feedback from stakeholders Information received from stakeholders concerning project operations
can be distributed and used to modify or improve future performance of the project
• Lessons learned documentation Documentation includes the root cause analysis of issues faced
reasoning behind the corrective action chosen and other types of lessons learned about stakeholder
management Lessons learned are documented and distributed so that they become part of the historical
database for both the project and the performing organization417©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
ANNEX A1
THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A project is a temporary endeavor undertaken to create a unique product service or result The temporary
nature of projects indicates a definite beginning and end The end is reached when the project’s objectives have
been achieved or when the project is terminated because its objectives will not or cannot be met or when the need
for the project no longer exists
Project management is the application of knowledge skills tools and techniques to project activities to meet
project requirements Project management is accomplished through the appropriate application and integration of
logically grouped project management processes
Managing a project typically includes
• Identifying requirements
• Addressing the various needs concerns and expectations of the stakeholders as the project is planned
and carried out
• Setting and maintaining active communication with stakeholders and
• Balancing the competing project constraints which include but are not limited to
○○ Scope
○○ Quality
○○ Schedule
○○ Budget
○○ Resources and
○○ Risks
The specific project circumstances will influence the constraints on which the project manager needs to focus
and require effective application and management of appropriate project management processes418 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A11 What is a Standard
The International Organization for Standardization (ISO) and others define a standard as a Document approved
by a recognized body that provides for common and repeated use rules guidelines or characteristics for products
processes or services with which compliance are not mandatory (ISO 9453) [11]
In October 1998 PMI was accredited as a standards developer by the American National Standards Institute
(ANSI) The processes outlined in this Annex which are described in the PMBOK® Guide – Fifth Edition provide the
standard for project management of a project
A12 Framework for this Standard
This standard describes the nature of project management processes in terms of the integration between the
processes their interactions and the purposes they serve For this standard it is assumed that the project the
project manager and the project team are assigned to the performing organization Project management processes
are grouped into five categories known as Project Management Process Groups (or Process Groups)
• Initiating Process Group Those processes performed to define a new project or a new phase of an
existing project by obtaining authorization to start the project or phase
• Planning Process Group Those processes required to establish the scope of the project refine the
objectives and define the course of action required to attain the objectives that the project was undertaken
to achieve
• Executing Process Group Those processes performed to complete the work defined in the project
management plan to satisfy the project specifications
• Monitoring and Controlling Process Group Those processes required to track review and regulate the
progress and performance of the project identify any areas in which changes to the plan are required
and initiate the corresponding changes
• Closing Process Group Those processes performed to finalize all activities across all Process Groups to
formally close the project or phase419©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Project Management Process Groups are linked by the outputs they produce The Process Groups are seldom
either discrete or onetime events they are overlapping activities that occur throughout the project The output of
one process generally becomes an input to another process or is a deliverable of the project subproject or project
phase Deliverables at the subproject or project level may be called incremental deliverables The Planning Process
Group provides the Executing Process Group with the project management plan and project documents and as
the project progresses it often creates updates to the project management plan and the project documents Figure
A11 illustrates how the Process Groups interact and shows the level of overlap at various times If the project is
divided into phases the Process Groups interact within each phase
Planning
Process
Group
Initiating
Process
Group
Executing
Process
Group
Monitoring
and Controlling
Process Group
Closing
Process
Group
Start Finish
TIME
Level of
Process
Interaction
Figure A11 Process Group Interactions in a Project
An example of this interaction would be the exit of a design phase which requires sponsor acceptance of the
design document Once it is available the design document provides the product description for the Planning and
Executing Process Groups in one or more subsequent phases When a project is divided into phases the Process
Groups are carried out as appropriate to effectively drive the project to completion in a controlled manner In
multiphase projects processes are repeated within each phase until the criteria for phase completion have been
satisfied420 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A13 Project Management Process Groups
The following sections identify and describe the five Project Management Process Groups required for any
project These five Process Groups have clear dependencies and are typically performed in each project and
highly interact with one another These five Process Groups are independent of application areas or industry focus
Individual Process Groups and individual processes are often iterated prior to completing the project and can have
interactions within a Process Group and among Process Groups The nature of these interactions varies from project
to project and may or may not be performed in a particular order
The process flow diagram Figure A12 provides an overall summary of the basic flow and interactions among
Process Groups and specific stakeholders The project management processes are linked by inputs and outputs
where the result or outcome of one process becomes the input to another process but not necessarily in the same
Process Group The Process Groups are not project phases In fact it is possible that all Process Groups could
be conducted within a phase As projects are separated into distinct phases or subcomponents such as concept
development feasibility study design prototype build or test etc all of the Process Groups would normally be
repeated for each phase or subcomponent along the lines explained above and illustrated in Figure A12421©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Initiating
Process
Group
Monitoring
and
Controlling
Process
Group
Planning
Process
Group
Executing
Process
Group
Closing
Process
Group
Project Initiator
or Sponsor
Enterprise
Organization
Customer
Sellers
• Project
management
plan
• Makeorbuy
decisions
• Source selection
criteria
• Deliverables
• Change requests
• Work performance information
• Selected sellers
• Accepted deliverables
• Procurement documentation
NOTE The darker dotted lines represent relationships between Process Groups the lighter dotted lines are external to the Process Groups
• Seller
proposals
• Procurement
contract award
• Requirements
• Teaming
agreements
• Organizational
process assets
• Enterprise
environmental
factors
• Stakeholder
register
• Stakeholder
management
strategy
• Project
charter
• Procurement
documents
• Project statement of work
• Business case
• Agreements
• Resource
calendars
• Final product
service or result
• Approved change
requests
• Quality control
measurements
• Performance reports
Project
Documents
Figure A12 Project Management Process Interactions422 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Table A11 reflects the mapping of the 47 project management processes into the 5 Project Management
Process Groups and the 10 Project Management Knowledge Areas
The project management processes are shown in the Process Group in which most of the activity takes place
For example when a process that normally takes place in the Planning Process Group is updated in the Executing
Process Group it is not considered a new process The iterative nature of project management means that processes
from any group may be used throughout the project life cycle For example executing a risk response may trigger
the Perform Quantitative Risk Analysis process to evaluate the impact423©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Table A11 Project Management Process Group and Knowledge Area Mapping
4 Project
Integration
Management
5 Project Scope
Management
6 Project Time
Management
7 Project Cost
Management
8 Project
Quality
Management
9 Project
Human Resource
Management
10 Project
Communications
Management
11 Project Risk
Management
12 Project
Procurement
Management
13 Project
Stakeholder
Management
Project Management Process Groups
Knowledge Areas Initiating
Process
Group
Closing
Process
Group
Monitoring
Process Group
Executing
Process
Group
Planning
Process
Group
41 Develop
Project Charter
131 Identify
Stakeholders
42 Develop Project
Management Plan
51 Plan Scope
Management
52 Collect
Requirements
53 Define Scope
54 Create WBS
61 Plan Schedule
Management
62 Define
Activities
63 Sequence
Activities
64 Estimate
Activity Resources
65 Estimate
Activity Durations
66 Develop
Schedule
71 Plan Cost
Management
72 Estimate Costs
73 Determine
Budget
81 Plan Quality
Management
91 Plan Human
Resource
Management
101 Plan
Communications
Management
111 Plan Risk
Management
112 Identify Risks
113 Perform
Qualitative Risk
Analysis
114 Perform
Quantitative Risk
Analysis
115 Plan Risk
Responses
121 Plan
Procurement
Management
132 Plan
Stakeholder
Management
43 Direct and
Manage Project
Work
82 Perform Quality
Assurance
92 Acquire Project
Team
93 Develop Project
Team
94 Manage Project
Team
102 Manage
Communications
122 Conduct
Procurements
133 Manage
Stakeholder
Engagement
44 Monitor and
Control Project
Work
45 Perform
Integrated Change
Control
55 Validate Scope
56 Control Scope
67 Control
Schedule
74 Control Costs
83 Control Quality
103 Control
Communications
116 Control Risks
123 Control
Procurements
134 Control
Stakeholder
Engagement
46 Close Project
or Phase
124 Close
Procurements
and Controlling424 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A14 Initiating Process Group
The Initiating Process Group consists of those processes performed to define a new project or a new phase
of an existing project by obtaining authorization to start the project or phase Within the Initiating processes the
initial scope is defined and initial financial resources are committed Internal and external stakeholders who will
interact and influence the overall outcome of the project are identified If not already assigned the project manager
will be selected This information is captured in the project charter and stakeholder register When the project
charter is approved the project becomes officially authorized Although the project management team may help
to write the project charter this standard assumes that business case assessment approval and funding are
handled external to the project boundaries (Figure A13) A project boundary is defined as the point in time that
a project or project phase is authorized to its completion The key purpose of this Process Group is to align the
stakeholders’ expectations with the project’s purpose give them visibility about the scope and objectives and show
how their participation in the project and it associated phases can ensure that their expectations are achieved
These processes help to set the vision of the project—what is needed to be accomplished
Large complex projects should be divided into separate phases In such projects the Initiating processes
are carried out during subsequent phases to validate the decisions made during the original Develop Project
Charter and Identify Stakeholders processes Performing the Initiating processes at the start of each phase
helps to keep the project focused on the business need that the project was undertaken to address The
success criteria are verified and the influence drivers and objectives of the project stakeholders are reviewed
A decision is then made as to whether the project should be continued delayed or discontinued
Involving the sponsors customers and other stakeholders during initiation creates a shared understanding of
success criteria reduces the overhead of involvement and generally improves deliverable acceptance customer
and other stakeholder satisfaction425©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Project
Boundaries
Project
Deliverables
Project
Records
End
Users
Process
Assets
Monitoring &
Controlling Processes
Planning
Processes
Initiating
Processes
Closing
Processes
Executing
Processes
Project
Inputs
Project
Initiator
Sponsor
Figure A13 Project Boundaries
Initiating processes may be performed at the organizational program or portfolio level and would then
be outside of the project’s level of control For example prior to commencing a project the need for high
level requirements may be documented as part of a larger organizational initiative A process of evaluating
alternatives may be utilized to determine the feasibility of the new undertaking Clear descriptions of the project
objectives may be developed including the reasons why a specific project is the best alternative to satisfy
the requirements The documentation for this decision may also contain the initial project scope statement
deliverables project duration and a forecast of the resources for the organization’s investment analysis As part
of the Initiating processes the project manager is given the authority to apply organizational resources to the
subsequent project activities
The dashed circular arrow indicates that the process is part of the
Project Integration Management Knowledge Area This Knowledge
Area coordinates and unifies the processes from the other
Knowledge Areas
Project Integration
Management
Project Stakeholder
Management
41
Develop Project
Charter
131
Identify
Stakeholders
Figure A14 Initiating Process Group426 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A141 Develop Project Charter
Develop Project Charter is the process of developing a document that formally authorizes the existence of a
project and provides the project manager with the authority to apply organizational resources to project activities
The key benefit of this process is a welldefined project start and project boundaries creation of a formal record of
the project and a direct way for senior management to formally accept and commit to the project The inputs and
outputs for this process are shown in Figure A15
Inputs Outputs
1 Project statement of work
2 Business case
3 Agreements
4 Enterprise environmental
factors
5 Organizational process
assets
1 Project charter
Figure A15 Develop Project Charter Inputs and Outputs
A142 Identify Stakeholders
Identify Stakeholders is the process of identifying the people groups or organizations that could impact or be
impacted by a decision activity or outcome of the project and analyzing and documenting relevant information
regarding their interests involvement interdependencies influence and potential impact on project success The
key benefit of this process is that it allows the project manager to identify the appropriate focus for each stakeholder
or group of stakeholders The inputs and outputs of this process are depicted in Figure A16
Inputs Outputs
1 Project charter
2 Procurement documents
3 Enterprise environmental
factors
4 Organizational process
assets
1 Stakeholder register
Figure A16 Identify Stakeholders Inputs and Outputs427©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A15 Planning Process Group
The Planning Process Group consists of those processes performed to establish the total scope of the
effort define and refine the objectives and develop the course of action required to attain those objectives
The Planning processes develop the project management plan and the project documents that will be used to
carry out the project The complex nature of project management may require the use of repeated feedback
loops for additional analysis As more project information or characteristics are gathered and understood
additional planning will likely be required Significant changes occurring throughout the project life cycle
trigger a need to revisit one or more of the planning processes and possibly some of the initiating processes
This progressive detailing of the project management plan is called progressive elaboration indicating that
planning and documentation are iterative and ongoing activities The key benefit of this Process Group is to
delineate the strategy and tactics as well as the course of action or a path to successfully complete the project
or phase When the Planning Process Group is well managed it is much easier to get stakeholder buyin and
engagement These processes describe how this will be done resulting in the desired objectives
The project management plan and project documents developed as outputs from the Planning Process Group
will explore all aspects of the scope time costs quality communications human resources risks procurements
and stakeholder management
Updates arising from approved changes during the project (generally during Monitoring and Controlling
processes and specifically during Direct and Manage Project Work process) may significantly impact parts of the
project management plan and the project documents Updates to these documents provide greater precision with
respect to schedule costs and resource requirements to meet the defined project scope
The project team seeks input and encourages involvement from all stakeholders when planning the project
and developing the project management plan and project documents Since the feedback and refinement process
cannot continue indefinitely procedures set by the organization dictate when the initial planning effort ends These
procedures will be affected by the nature of the project the established project boundaries appropriate monitoring
and controlling activities as well as the environment in which the project will be performed
Other interactions among the processes within the Planning Process Group are dependent upon the nature of
the project For example for some projects there will be little or no identifiable risks until after significant planning
has been done At that time the team might recognize that the cost and schedule targets are overly aggressive
thus involving considerably more risk than previously understood The results of the iterations are documented as
updates to the project management plan or to various project documents428 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
The Planning Process Group (Figure A17) includes the project management processes identified in Figures
A18 through A131 (see Sections A151 through A1524)
Project Cost
Management
73
Determine
Budget
72
Estimate
Costs
The dashed circular arrow indicates that the process is part of the Project
Integration Management Knowledge Area This Knowledge Area coordinates
and unifies the processes from the other Knowledge Areas
Project Integration
Management
42
Develop
Project
Management
Plan
Project Scope
Management
54
Create WBS
53
Define
Scope
Project Quality
Management
81
Plan Quality
ManagementProject Procurement
Management
121
Plan
Procurement
Management
Project Communications
Management
101
Plan
Communications
Management
Project Human
Resource Management
91
Develop Human
Resource
Management
Project Stakeholder
Management
132
Plan
Stakeholder
Management
Project Time
Management
52
Collect
Requirements
51
Plan Scope
Management
62
Define
Activities
61
Plan Schedule
Management
63
Sequence
Activities
64
Estimate Activity
Resources
65
Estimate Activity
Durations
66
Develop
Schedule
Project Risk
Management
112
Identify
Risks
111
Plan Risk
Management
113
Perform
Qualitative
Risk Analysis
115
Plan Risk
Responses
114
Perform
Quantitative
Risk Analysis
71
Plan Cost
Management
Figure A17 Planning Process Group429©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A151 Develop Project Management Plan
Develop Project Management Plan is the process of defining preparing and coordinating all subsidiary plans and
integrating them into a comprehensive project management plan The key benefit of this process is a central document
that defines the basis of all project work The inputs and outputs for this process are depicted in Figure A18
Inputs Outputs
1 Project charter
2 Outputs from other
processes
3 Enterprise environmental
factors
4 Organizational process
assets
1 Project management plan
Figure A18 Develop Project Management Plan Inputs and Outputs
A152 Plan Scope Management
Plan Scope Management is the process of creating a scope management plan that documents how the project
scope will be defined validated and controlled The key benefit of this process is that it provides guidance and
direction on how scope will be managed throughout the project The inputs and outputs of this process are depicted
in Figure A19
Inputs Outputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process
assets
1 Scope management plan
2 Requirements
management plan
Figure A19 Plan Scope Management Inputs and Outputs430 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A153 Collect Requirements
Collect Requirements is the process of determining documenting and managing stakeholder needs and
requirements to meet project objectives The key benefit of this process is that it provides the basis for defining
and managing the project scope including product scope The inputs and outputs of this process are depicted in
Figure A110
Inputs Outputs
1 Scope management plan
2 Requirements
management plan
3 Stakeholder management
plan
4 Project charter
5 Stakeholder register
1 Requirements
documentation
2 Requirements traceability
matrix
Figure A110 Collect Requirements Inputs and Outputs
A154 Define Scope
Define Scope is the process of developing a detailed description of the project and product The key benefit of
this process is that it describes the project service or result boundaries by defining which of the requirements
collected will be included in and excluded from the project scope The inputs and outputs of this process are
depicted in Figure A111
Inputs Outputs
1 Scope management plan
2 Project charter
3 Requirements
documentation
4 Organizational process
assets
1 Project scope statement
2 Project documents
updates
Figure A111 Define Scope Inputs and Outputs431©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A155 Create WBS
Create WBS is the process of subdividing project deliverables and project work into smaller more manageable
components The key benefit of this process is that it provides a structured vision of what has to be delivered The
inputs and outputs of this process are depicted in Figure A112
Inputs Outputs
1 Scope management plan
2 Project scope statement
3 Requirements
documentation
4 Enterprise environmental
factors
5 Organizational process
assets
1 Scope baseline
2 Project documents
updates
Figure A112 Create WBS Inputs and Outputs
A156 Plan Schedule Management
Plan Schedule Management is the process of establishing the policies procedures and documentation for
planning developing managing executing and controlling the project schedule The key benefit of this process is
that it provides guidance and direction on how the project schedule will be managed throughout the project The
inputs and outputs of this process are depicted in Figure A113
Inputs Outputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process
assets
1 Schedule management
plan
Figure A113 Plan Schedule Management Inputs and Outputs432 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A157 Define Activities
Define Activities is the process of identifying and documenting the specific actions to be performed to produce
the project deliverables The key benefit of this process is to break down work packages into activities that provide
a basis for estimating scheduling executing monitoring and controlling the project work The inputs and outputs
of this process are depicted in Figure A114
Inputs Outputs
1 Schedule management
plan
2 Scope baseline
3 Enterprise environmental
factors
4 Organizational process
assets
1 Activity list
2 Activity attributes
3 Milestone list
Figure A114 Define Activities Inputs and Outputs
A158 Sequence Activities
Sequence Activities is the process of identifying and documenting relationships among the project activities The
key benefit of this process is that it defines the logical sequence of work to obtain the greatest efficiency given all
project constraints The inputs and outputs of this process are depicted in Figure A115
Inputs Outputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Milestone list
5 Project scope statement
6 Enterprise environmental
factors
7 Organizational process
assets
1 Project schedule network
diagrams
2 Project documents
updates
Figure A115 Sequence Activities Inputs and Outputs433©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A159 Estimate Activity Resources
Estimate Activity Resources is the process of estimating the type and quantities of material human resources
equipment or supplies required to perform each activity The key benefit of this process is that it identifies the type
quantity and characteristics of resources required to complete the activity which allows more accurate cost and
duration estimates The inputs and outputs of this process are depicted in Figure A116
Inputs Outputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Resource calendars
5 Risk register
6 Activity cost estimates
7 Enterprise environmental
factors
8 Organizational process
assets
1 Activity resource
requirements
2 Resource breakdown
structure
3 Project documents
updates
Figure A116 Estimate Activity Resources Inputs and Outputs
A1510 Estimate Activity Durations
Estimate Activity Durations is the process of estimating the number of work periods needed to complete
individual activities with estimated resources The key benefit of this process is that it provides the amount of
time each activity will take to complete which is a major input into the Develop Schedule process The inputs and
outputs of this process are depicted in Figure A117434 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Activity resource
requirements
5 Resource calendars
6 Project scope statement
7 Risk register
8 Resource breakdown
structure
9 Enterprise environmental
factors
10 Organizational
process assets
1 Activity duration estimates
2 Project documents
updates
Figure A117 Estimate Activity Durations Inputs and Outputs
A1511 Develop Schedule
Develop Schedule is the process of analyzing activity sequences durations resource requirements and
schedule constraints to create the project schedule model The key benefit of this process is that by entering
schedule activities durations resources resource availabilities and logical relationships into the scheduling tool
it generates a schedule model with planned dates for completing project activities The inputs and outputs of this
process are depicted in Figure A118435©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Project schedule network
diagrams
5 Activity resource
requirements
6 Resource calendars
7 Activity duration
estimates
8 Project scope statement
9 Risk register
10 Project staff assignments
11 Resource breakdown
structure
12 Enterprise environmental
factors
13 Organizational process
assets
1 Schedule baseline
2 Project schedule
3 Schedule data
4 Project calendars
5 Project management plan
updates
6 Project documents
updates
Figure A118 Develop Schedule Inputs and Outputs
A1512 Plan Cost Management
Plan Cost Management is the process that establishes the policies procedures and documentation for planning
managing expending and controlling project costs The key benefit of this process is that it provides guidance and
direction on how the project costs will be managed throughout the project The inputs and outputs of this process
are depicted in Figure A119436 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process
assets
1 Cost management plan
Figure A119 Plan Cost Management Inputs and Outputs
A1513 Estimate Costs
Estimate Costs is the process of developing an approximation of the monetary resources needed to complete
project activities The key benefit of this process is that it determines the amount of cost required to complete
project work The inputs and outputs of this process are depicted in Figure A120
Inputs Outputs
1 Cost management plan
2 Human resource
management plan
3 Scope baseline
4 Project schedule
5 Risk register
6 Enterprise environmental
factors
7 Organizational process
assets
1 Activity cost estimates
2 Basis of estimates
3 Project documents
updates
Figure A120 Estimate Costs Inputs and Outputs437©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A1514 Determine Budget
Determine Budget is the process of aggregating the estimated costs of individual activities or work packages to
establish an authorized cost baseline The key benefit of this process is that it determines the cost baseline against
which project performance can be monitored and controlled The inputs and outputs of this process are depicted
in Figure A121
Inputs Outputs
1 Cost management plan
2 Scope baseline
3 Activity cost estimates
4 Basis of estimates
5 Project schedule
6 Resource calendars
7 Risk register
8 Agreements
9 Organizational process
assets
1 Cost baseline
2 Project funding
requirements
3 Project documents
updates
Figure A121 Determine Budget Inputs and Outputs
A1515 Plan Quality Management
Plan Quality Management is the process of identifying quality requirements andor standards for the project and
its deliverables and documenting how the project will demonstrate compliance with relevant quality requirements
The key benefit of this process is that it provides guidance and direction on how quality will be managed and
validated throughout the project The input and outputs of this process are depicted in Figure A122438 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Stakeholder register
3 Risk register
4 Requirements
documentation
5 Enterprise environmental
factors
6 Organizational process
assets
1 Quality management plan
2 Process improvement plan
3 Quality metrics
4 Quality checklists
5 Project documents
updates
Figure A122 Plan Quality Management Inputs and Outputs
A1516 Plan Human Resource Management
Plan Human Resource Management is the process of identifying and documenting project roles responsibilities
required skills reporting relationships and creating a staffing management plan The key benefit of this process
is that it establishes project roles and responsibilities project organization charts and the staffing management
plan including the timetable for staff acquisition and release The input and outputs of this process are depicted in
Figure A123
Inputs Outputs
1 Project management plan
2 Activity resource
requirements
3 Enterprise environmental
factors
4 Organizational process
assets
1 Human resource
management plan
Figure A123 Plan Human Resource Management Inputs and Outputs439©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A1517 Plan Communications Management
Plan Communications Management is the process of developing an appropriate approach and plan for project
communications based on stakeholder’s information needs and requirements and available organizational assets
The key benefit of this process is that it identifies and documents the approach to communicate most effectively
and efficiently with stakeholders The inputs and outputs of this process are depicted in Figure A124
Inputs Outputs
1 Project management plan
2 Stakeholder register
3 Enterprise environmental
factors
4 Organizational process
assets
1 Communications
management plan
2 Project documents
updates
Figure A124 Plan Communications Management Inputs and Outputs
A1518 Plan Risk Management
Plan Risk Management is the process of defining how to conduct risk management activities for a project
The key benefit of this process is that it ensures that the degree type and visibility of risk management are
commensurate with both the risks and the importance of the project to the organization The input and outputs of
this process are depicted in Figure A125
Inputs Outputs
1 Project management plan
2 Project charter
3 Stakeholder register
4 Enterprise environmental
factors
5 Organizational process
assets
1 Risk management plan
Figure A125 Plan Risk Management Inputs and Outputs440 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A1519 Identify Risks
Identify Risks is the process of determining which risks may affect the project and documenting their
characteristics The key benefit of this process is the documentation of existing risks and the knowledge and
ability it provides to the project team to anticipate events The inputs and outputs of this process are depicted in
Figure A126
Inputs Outputs
1 Risk management plan
2 Cost management plan
3 Schedule management
plan
4 Quality management plan
5 Human resource
management plan
6 Scope baseline
7 Activity cost estimates
8 Activity duration
estimates
9 Stakeholder register
10 Project documents
11 Procurement documents
12 Enterprise environmental
factors
13 Organizational process
assets
1 Risk register
Figure A126 Identify Risks Inputs and Outputs
A1520 Perform Qualitative Risk Analysis
Perform Qualitative Risk Analysis is the process of prioritizing risks for further analysis or action by assessing
and combining their probability of occurrence and impact The key benefit of this process is that it enables project
managers to reduce the level of uncertainty and to focus on highpriority risks The inputs and outputs of this
process are depicted in Figure A127441©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Risk management plan
2 Scope baseline
3 Risk register
4 Enterprise environmental
factors
5 Organizational process
assets
1 Project documents
updates
Figure A127 Perform Qualitative Risk Analysis Inputs and Outputs
A1521 Perform Quantitative Risk Analysis
Perform Quantitative Risk Analysis is the process of numerically analyzing the effect of identified risks on overall
project objectives The key benefit of this process is that it produces quantitative risk information to support decision
making in order to reduce project uncertainty The inputs and outputs of this process are depicted in Figure A128
Inputs Outputs
1 Risk management plan
2 Cost management plan
3 Schedule management
plan
4 Risk register
5 Enterprise environmental
factors
6 Organizational process
assets
1 Project documents
updates
Figure A128 Perform Quantitative Risk Analysis Inputs and Outputs442 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A1522 Plan Risk Responses
Plan Risk Responses is the process of developing options and actions to enhance opportunities and to reduce
threats to project objectives The key benefit of this process is that it addresses the risks by their priority inserting
resources and activities into the budget schedule and project management plan as needed The inputs and outputs
of this process are depicted in Figure A129
Inputs Outputs
1 Risk management plan
2 Risk register
1 Project management plan
updates
2 Project documents
updates
Figure A129 Plan Risk Responses Inputs and Outputs
A1523 Plan Procurement Management
Plan Procurement Management is the process of documenting project procurement decisions specifying the
approach and identifying potential sellers The key benefit of this process is that it determines whether to acquire
outside support and if so what to acquire how to acquire it how much is needed and when to acquire it The
inputs and outputs of this process are depicted in Figure A130443©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Requirements
documentation
3 Risk register
4 Activity resource
requirements
5 Project schedule
6 Activity cost estimates
7 Stakeholder register
8 Enterprise environmental
factors
9 Organizational process
assets
1 Procurement management
plan
2 Procurement statement
of work
3 Procurement documents
4 Source selection criteria
5 Makeorbuy decisions
6 Change requests
7 Project documents
updates
Figure A130 Plan Procurement Management Inputs and Outputs
A1524 Plan Stakeholder Management
Plan Stakeholder Management is the process of developing appropriate management strategies to effectively
engage stakeholders throughout the project life cycle based on the analysis of their needs interests and potential
impact on project success The key benefit of this process is that it provides a clear actionable plan to interact
with project stakeholders to support the project’s interests The inputs and outputs of this process are depicted in
Figure A131
Inputs Outputs
1 Project management plan
2 Stakeholder register
3 Enterprise environmental
factors
4 Organizational process
assets
1 Stakeholder management
plan
2 Project documents
updates
Figure A131 Plan Stakeholder Management Inputs and Outputs444 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A16 Executing Process Group
The Executing Process Group consists of those processes performed to complete the work defined in the
project management plan to satisfy the project specifications This Process Group involves coordinating people and
resources managing stakeholder expectations as well as integrating and performing the activities of the project in
accordance with the project management plan (Figure A132)
During project execution results may require planning updates and rebaselining This can include changes
to expected activity durations changes in resource productivity and availability and unanticipated risks Such
variances may affect the project management plan or project documents and may require detailed analysis
and development of appropriate project management responses The results of the analysis can trigger change
requests that if approved may modify the project management plan or other project documents and possibly
require establishing new baselines A large portion of the project’s budget will be expended in performing
the Executing Process Group processes The Executing Process Group (Figure A132) includes the project
management processes identified in Figures A133 through A140 (see Sections A161 through A168)445©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
The dashed circular arrow indicates that the process is part of the Project Integration Management Knowledge
Area This Knowledge Area coordinates and unifies the processes from the other Knowledge Areas
Project Integration
Management
43
Direct and
Manage
Project
Work
Project Quality
Management
82
Perform Quality
Assurance
Project Stakeholder
Management
133
Manage
Stakeholder
Engagement
Project Procurement
Management
122
Conduct
Procurements
Project Human
Resource Management
94
Manage
Project Team
Project Communications
Management
102
Manage
Communications
93
Develop
Project Team
92
Acquire
Project Team
Figure A132 Executing Process Group
A161 Direct and Manage Project Work
Direct and Manage Project Work is the process of leading and performing the work defined in the project
management plan and implementing approved changes to achieve the project’s objectives The key benefit of this
process is that it provides overall management of the project work The inputs and outputs of this process are
depicted in Figure A133446 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Approved change
requests
3 Enterprise environmental
factors
4 Organizational process
assets
1 Deliverables
2 Work performance data
3 Change requests
4 Project management plan
updates
5 Project documents
updates
Figure A133 Direct and Manage Project Work Inputs and Outputs
A162 Perform Quality Assurance
Perform Quality Assurance is the process of auditing the quality requirements and the results from quality
control measurements to ensure that appropriate quality standards and operational definitions are used The key
benefit of this process is it facilitates the improvement of quality processes The input and outputs of this process
are depicted in Figure A134
Inputs Outputs
1 Quality management plan
2 Process improvement plan
3 Quality metrics
4 Quality control
measurements
5 Project documents
1 Change requests
2 Project management plan
updates
3 Project documents
updates
4 Organizational process
assets updates
Figure A134 Perform Quality Assurance Inputs and Outputs447©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A163 Acquire Project Team
Acquire Project Team is the process of confirming human resource availability and obtaining the team necessary
to complete project activities The key benefit of this process consists of outlining and guiding the team selection
and responsibility assignment to obtain a successful team The inputs and outputs of this process are depicted in
Figure A135
Inputs Outputs
1 Human resource
management plan
2 Enterprise environmental
factors
3 Organizational process
assets
1 Project staff assignments
2 Resource calendars
3 Project management plan
updates
Figure A135 Acquire Project Team Inputs and Outputs
A164 Develop Project Team
Develop Project Team is the process of improving competencies team member interaction and overall team
environment to enhance project performance The key benefit of this process is that it results in improved teamwork
enhanced people skills and competencies motivated employees reduced staff turnover rates and improved overall
project performance The inputs and outputs of this process are depicted in Figure A136
Inputs Outputs
1 Human resource
management plan
2 Project staff assignments
3 Resource calendars
1 Team performance
assessments
2 Enterprise environmental
factors updates
Figure A136 Develop Project Team Inputs and Outputs448 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A165 Manage Project Team
Manage Project Team is the process of tracking team member performance providing feedback resolving
issues and managing team changes to optimize project performance The key benefit of this process is that it
influences team behavior manages conflict resolves issues and appraises team member performance The inputs
and outputs of this process are depicted in Figure A137
Inputs Outputs
1 Human resource
management plan
2 Project staff assignments
3 Team performance
assessments
4 Issue log
5 Work performance reports
6 Organizational process
assets
1 Change requests
2 Project management plan
updates
3 Project documents
updates
4 Enterprise environmental
factors updates
5 Organizational process
assets updates
Figure A137 Manage Project Team Inputs and Outputs
A166 Manage Communications
Manage Communications is the process of creating collecting distributing storing retrieving and the ultimate
disposition of project information in accordance with the communications management plan The key benefit of this
process is that it enables an efficient and effective communications flow between project stakeholders The inputs
and outputs of this process are depicted in Figure A138
Inputs Outputs
1 Communications
management plan
2 Work performance reports
3 Enterprise environmental
factors
4 Organizational process
assets
1 Project communications
2 Project management plan
updates
3 Project documents
updates
4 Organizational process
assets updates
Figure A138 Manage Communications Inputs and Outputs449©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A167 Conduct Procurements
Conduct Procurements is the process of obtaining seller responses selecting a seller and awarding a contract
The key benefit of this process is that it provides alignment of internal and external stakeholder expectations
through established agreements The inputs and outputs of this process are depicted in Figure A139
Inputs Outputs
1 Procurement management
plan
2 Procurement documents
3 Source selection criteria
4 Seller proposals
5 Project documents
6 Makeorbuy decisions
7 Procurement statement of
work
8 Organizational process
assets
1 Selected sellers
2 Agreements
3 Resource calendar
4 Change requests
5 Project management plan
updates
6 Project documents
updates
Figure A139 Conduct Procurements Inputs and Outputs
A168 Manage Stakeholder Engagement
Manage Stakeholder Engagement is the process of communicating and working with stakeholders to meet
their needsexpectations address issues as they occur and foster appropriate stakeholder engagement in project
activities throughout the project life cycle The key benefit of this process is that it allows the project manager
to increase support and minimize resistance from stakeholders significantly increasing the chances to achieve
project success The inputs and outputs of this process are depicted in Figure A140450 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Stakeholder management
plan
2 Communications
management plan
3 Change log
4 Organizational process
assets
1 Issue log
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure A140 Manage Stakeholder Engagement Inputs and Outputs
A17 Monitoring and Controlling Process Group
The Monitoring and Controlling Process Group consists of those processes required to track review and
orchestrate the progress and performance of the project identify any areas in which changes to the plan are
required and initiate the corresponding changes The key benefit of this Process Group is that project performance
is measured and analyzed at regular intervals appropriate events or exception conditions to identify variances from
the project management plan The Monitoring and Controlling Process Group also involves
• Controlling changes and recommending corrective or preventive action in anticipation of possible
problems
• Monitoring the ongoing project activities against the project management plan and the project performance
measurement baseline and
• Influencing the factors that could circumvent integrated change control or configuration management so
only approved changes are implemented451©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
This continuous monitoring provides the project team insight into the health of the project and identifies
any areas requiring additional attention The Monitoring and Controlling Process Group not only monitors and
controls the work being done within a Process Group but also monitors and controls the entire project effort
In multiphase projects the Monitoring and Controlling Process Group coordinates project phases in order to
implement corrective or preventive actions to bring the project into compliance with the project management
plan This review can result in recommended and approved updates to the project management plan For
example a missed activity finish date may require adjustments and tradeoffs between budget and schedule
objectives In order to reduce control overheads management by exception procedures and other techniques
can be appropriately considered The Monitoring and Controlling Process Group (Figure A141) includes the
following project management processes (Sections A171 through A1711)
The dashed circular arrow indicates that the process is part of the Project Integration Management Knowledge
Area This Knowledge Area coordinates and unifies the processes from the other Knowledge Areas
Project Integration
Management
44
Monitor and
Control
Project Work
45
Perform
Integrated
Change Control
Project Scope
Management
56
Control
Scope
55
Validate
Scope
Project Quality
Management
83
Control
Quality
Project Stakeholder
Management
134
Control
Stakeholder
Engagement
Project Cost
Management
74
Control
Costs
Project Procurement
Management
123
Control
Procurements
Project Risk
Management
116
Control Risks
Project Communications
Management
1035
Control
Communications
Project Time
Management
67
Control
Schedule
Figure A141 Monitoring and Controlling Process Group452 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A171 Monitor and Control Project Work
Monitor and Control Project Work is the process of tracking reviewing and reporting the progress to meet the
performance objectives defined in the project management plan The key benefit of this process is that it allows
stakeholders to understand the current state of the project the steps taken and budget schedule and scope
forecasts The inputs and outputs for this process are depicted in Figure A142
Inputs Outputs
1 Project management plan
2 Schedule forecasts
3 Cost forecasts
4 Validated changes
5 Work performance
information
6 Enterprise environmental
factors
7 Organizational process
assets
1 Change requests
2 Work performance reports
3 Project management plan
updates
4 Project documents
updates
Figure A142 Monitor and Control Project Work Inputs and Outputs
A172 Perform Integrated Change Control
Perform Integrated Change Control is the process of reviewing all change requests approving changes
and managing changes to deliverables organizational process assets project documents and the project
management plan and communicating their disposition It reviews all requests for changes or modifications to
project documents deliverables baselines or the project management plan and approves or rejects the changes
The key benefit of this process is that it allows for documented changes within the project to be considered in
an integrated fashion while reducing project risk which often arises from changes made without consideration
to the overall project objectives or plans The inputs and outputs of this process are depicted in Figure A143453©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Work performance reports
3 Change requests
4 Enterprise environmental
factors
5 Organizational process
assets
1 Approved change
requests
2 Change log
3 Project management plan
updates
4 Project documents
updates
Figure A143 Perform Integrated Change Control Inputs and Outputs
A173 Validate Scope
Validate Scope is the process of formalizing acceptance of the completed project deliverables The key benefit
of this process is that it brings objectivity to the acceptance process and increases the chance of final product
service or result acceptance by validating each deliverable The inputs and outputs of this process are depicted in
Figure A144
Inputs Outputs
1 Project management plan
2 Requirements
documentation
3 Requirements traceability
matrix
4 Verified deliverables
5 Work performance data
1 Accepted deliverables
2 Change requests
3 Work performance
information
4 Project documents
updates
Figure A144 Validate Scope Inputs and Outputs454 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A174 Control Scope
Control Scope is the process of monitoring the status of the project and product scope and managing changes to
the scope baseline The key benefit of this process is that it allows the scope baseline to be maintained throughout
the project The inputs and outputs of this process are depicted in Figure A145
Inputs Outputs
1 Project management plan
2 Requirements
documentation
3 Requirements traceability
matrix
4 Work performance data
5 Organizational process
assets
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure A145 Control Scope Inputs and Outputs
A175 Control Schedule
Control Schedule is the process of monitoring the status of project activities to update project progress and
manage changes to the schedule baseline to achieve the plan The key benefit of this process is that it provides the
means to recognize deviation from the plan and take corrective and preventive actions and thus minimize risk The
inputs and outputs of this process are depicted in Figure A146455©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Project schedule
3 Work performance data
4 Project calendars
5 Schedule data
6 Organizational process
assets
1 Work performance
information
2 Schedule forecasts
3 Change requests
4 Project management plan
updates
5 Project documents
updates
6 Organizational process
assets updates
Figure A146 Control Schedule Inputs and Outputs
A176 Control Costs
Control Costs is the process of monitoring the status of the project to update the project costs and managing
changes to the cost baseline The key benefit of this process is that it provides the means to recognize variance
from the plan in order to take corrective action and minimize risk The inputs and outputs of this process are
depicted in Figure A147
Inputs Outputs
1 Project management plan
2 Project funding
requirements
3 Work performance data
4 Organizational process
assets
1 Work performance
information
2 Cost forecasts
3 Change requests
4 Project management plan
updates
5 Project documents
updates
6 Organizational process
assets updates
Figure A147 Control Costs Inputs and Outputs456 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A177 Control Quality
Control Quality is the process of monitoring and recording results of executing the quality activities to assess
performance and recommend necessary changes The key benefits of this process include (1) identifying the
causes of poor process or product quality and recommending andor taking action to eliminate them and (2)
validating that project deliverables and work meet the requirements specified by key stakeholders necessary for
final acceptance The inputs and outputs of this process are depicted in Figure A148
Inputs Outputs
1 Project management plan
2 Quality metrics
3 Quality checklists
4 Work performance data
5 Approved change
requests
6 Deliverables
7 Project documents
8 Organizational process
assets
1 Quality control
measurements
2 Validated changes
3 Verified deliverables
4 Work performance
information
5 Change requests
6 Project management plan
updates
7 Project documents
updates
8 Organizational process
assets updates
Figure A148 Control Quality Inputs and Outputs
A178 Control Communications
Control Communications is the process of monitoring and controlling communications throughout the entire
project life cycle to ensure the information needs of the project stakeholders are met The key benefit of this process
is that it ensures an optimal information flow among all communication participants at any moment in time The
inputs and outputs of this process are depicted in Figure A149457©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Project communications
3 Issue log
4 Work performance data
5 Organizational process
assets
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure A149 Control Communications Inputs and Outputs
A179 Control Risks
Control Risks is the process of implementing risk response plans tracking identified risks monitoring residual
risks identifying new risks and evaluating risk process effectiveness throughout the project The key benefit of this
process is that it improves efficiency of the risk approach throughout the project life cycle to continuously optimize
risk responses The inputs and outputs of this process are depicted in Figure A150
Inputs Outputs
1 Project management plan
2 Risk register
3 Work performance data
4 Work performance reports
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure A150 Control Risks Inputs and Outputs458 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A1710 Control Procurements
Control Procurements is the process of managing procurement relationships monitoring contract performance
and making changes and corrections to contracts as appropriate The key benefit of this process is that it ensures
that both the seller’s and buyer’s performance meets procurement requirements according to the terms of the legal
agreement The inputs and outputs of this process are depicted in Figure A151
Inputs Outputs
1 Project management plan
2 Procurement documents
3 Agreements
4 Approved change
requests
5 Work performance reports
6 Work performance data
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure A151 Control Procurements Inputs and Outputs
A1711 Control Stakeholder Engagement
Control Stakeholder Engagement is the process of monitoring overall project stakeholder relationships and
adjusting strategies and plans for engaging stakeholders The key benefit of this process is that it will maintain
or increase the efficiency and effectiveness of stakeholder engagement activities as the project evolves and its
environment changes The inputs and outputs of this process are depicted in Figure A152459©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Issue log
3 Work performance data
4 Project documents
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure A152 Control Stakeholder Engagement Inputs and Outputs
A18 Closing Process Group
The Closing Process Group consists of those processes performed to conclude all activities across all Project
Management Process Groups to formally complete the project phase or contractual obligations This Process
Group when completed verifies that the defined processes are completed within all the Process Groups to close
the project or a project phase as appropriate and formally establishes that the project or project phase is complete
This Process Group also formally establishes the premature closure of the project Prematurely closed projects
may include for example aborted projects cancelled projects and projects in a critical situation In specific cases
when some contracts cannot be formally closed (eg claims ending clauses etc) or some activities are to be
transferred to other organizational units specific handover procedures may be arranged and finalized
At project or phase closure the following may occur
• Obtain acceptance by the customer or sponsor to formally close the project or phase
• Conduct postproject or phaseend review
• Record impacts of tailoring to any process
• Document lessons learned460 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
• Apply appropriate updates to organizational process assets
• Archive all relevant project documents in the project management information system (PMIS) to be used
as historical data
• Close out all procurements activities ensuring termination of all relevant agreements and
• Perform team members’ assessment and release project resources
The Closing Process Group (Figure A153) includes the following project management processes (See
Sections A181 and A182)
The dashed circular arrow indicates that the process is part of the
Project Integration Management Knowledge Area This Knowledge
Area coordinates and unifies the processes from the other
Knowledge Areas
Project Integration
Management
Project Procurement
Management
46
Close Project
or Phase
124
Close
Procurements
Figure A153 Closing Process Group
A181 Close Project or Phase
Close Project or Phase is the process of finalizing all activities across all of the Project Management Process
Groups to formally complete the project or phase The key benefit of this process is that it provides lessons learned
the formal ending of project work and the release of organization resources to pursue new endeavors The inputs
and outputs of this process are depicted in Figure A154461©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Accepted deliverables
3 Organizational process
assets
1 Final product service or
result transition
2 Organizational process
assets updates
Figure A154 Close Project or Phase Inputs and Outputs
A182 Close Procurements
Close Procurements is the process of completing each procurement The key benefit of this process is that it
documents agreements and related documentation for future reference The inputs and outputs of this process are
depicted in Figure A155
Inputs Outputs
1 Project management plan
2 Procurement documents
1 Closed procurements
2 Organizational process
assets updates
Figure A155 Close Procurements Inputs and Outputs463©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
APPENDIX X1
FIFTH EDITION CHANGES
The purpose of this appendix is to give a detailed explanation of the changes made to A Guide to the Project
Management Body of Knowledge (PMBOK® Guide)—Fourth Edition to create the PMBOK® Guide—Fifth Edition
X11 Scope of Update
The approved scope for the PMBOK® Guide – Fifth Edition explicitly states
• Comments and feedback both deferred during the development of the PMBOK® Guide – Fourth Edition
and received by PMI since its development will be reviewed and determined whether material will be
included or excluded in the new edition
• Review all text and graphics in the document to make sure the information is accurate clear complete
and relevant revising as necessary
• Review interpret and ensure appropriate alignment with ISO 21500 [12] in the development of the standard
• Ensure harmonization with any other relevant PMI standards
• Consider project management role delineation study results as appropriate
• Reposition Section 3 (The Standard for Project Management) as a standalone ANSIapproved standard
included within the Fifth Edition as an Appendix or attachment
• Standard is written for project management practitioners and other stakeholders of the project
management profession
• Standard describes the principles and processes that shape the practices that are unique to projects
• Standard ensures that any terminology contained within the PMI Lexicon is represented consistently and
identically in the standard
With that directive in mind the update team adopted an approach aimed at achieving a greater degree of
consistency and clarity by refining the processes standardizing inputs and outputs where possible and implementing
a global approach for documenting the inputs and outputs464 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
Along with a focus on consistency and clarity the update team worked to complete the requirements for
factoring feedback received for the PMBOK® Guide – Fourth Edition and ensure alignment and harmonization with
relevant PMI standards ISO 21500 PMI Lexicon of Project Management Terms and the PMI role delineation study
for project managers
X12 Rules for Handling Inputs Tools and Techniques and Outputs (ITTOs)
Business rules were established to further aid consistency in handling the order and detail of information within
the ITTOs for each project management process These rules are
• ITTO Fundamental Rules
○○ Inputs are any documents that are key to the process
○○ Process outputs should map as an input to another project management process unless the
output is a terminal output or embedded within another input such as process documents
○○ Process inputs should map as an output from another project management process unless the
input comes from outside the project
• Project Documents Rules
○○ On the ITTO input list if the input is a major project document it needs to be specifically listed
out
○○ On the ITTO output list specific project documents are put on the list the first time they are
created as an output Subsequently these are listed as project document updates on the ITTO
output list and described in the section narrative
• Project Management Plan Rules
○○ On the ITTO input list if the subsidiary plans and baselines from the project management plan
serve as major process inputs then these need to be specifically listed out
○○ On the ITTO output list subsidiary plans and baselines for the project management plan are
grouped as a single output as project management plan updates and described in the section
narrative
○○ On the ITTO input list for those planning processes that create a subsidiary plan the project
management plan is listed as the key input
○○ For control processes the key input is project management plan rather than specific subsidiary
plans And the output is project management plan updates rather than an update to a specific
subsidiary plan465©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
• EEFOPA Referencing Rule for Process Inputs
○○ When referencing EEFs or OPAs include the phrase Described in Section and state 214 for
OPAs or 215 for EEFs
• Other Consistency Rules
○○ Rename project document update and organizational process asset updates to project
documents updates and organizational process assets updates
○○ For consistency across the PMBOK® Guide document titles are not to be capitalized in the text
• Sequencing Rules
○ For inputs and outputs plans subsidiary plans and baselines are listed first
○ Project management plan first then subsidiary plans then baselines
○ When plans are a major output they are always listed first
○○ For inputs work performance datainformationreports these are listed immediately before the
enterprise environmental factors
○○ Enterprise environmental factors and organizational process assets are listed last in that order
○○ Tools and techniques have meetings listed last
○○ When updates are an output they are listed in the following sequence
○ Project management plansubsidiary plan updates
○ Project documents updates
○ Enterprise environmental factors updates and
○ Organizational process assets updates
X13 Established Rules for Ensuring Harmonization Between Glossary Terms
and the PMI Lexicon of Project Management Terms
To ensure that terms used in the PMBOK® Guide align with the PMI Lexicon of Project Management Terms and
harmonize with other PMI standards business rules were established and adhered to in the Fifth Edition update466 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
• For terms found in both the PMBOK® Guide and the PMI Lexicon the definition from the PMI Lexicon takes
precedence
• Where terms used in the PMBOK® Guide are not found in the PMI Lexicon but are found in other relevant
PMI standards (eg The Standard for Program Management Organizational Project Management
Maturity Model (OPM3®) The Standard for Portfolio Management Practice Standard for Earned Value
Management Practice Standard for Scheduling etc) the definition of the terms shall be the same If the
definitions do not align with the respective standards the term is elevated to the PMI Lexicon team for
assistance in creating an acceptable common definition
X14 Project Management Plan and Its Subsidiary Plans
To improve consistency and aid clarity around the various subsidiary plans that make up the overall project
management plan the team added four planning processes Plan Scope Management Plan Schedule Management
Plan Cost Management and Plan Stakeholder Management These changes bring back the scope planning process
from the Third Edition and add three new planning processes The additions provide clearer guidance for the
concept that each major Knowledge Area has a need for the project team to actively think through and plan how
aspects from the related processes are planned and managed It also reinforces the concept that each of the
subsidiary plans are integrated through the overall project management plan which becomes the major planning
document for guiding further project planning and execution
This change also ensures harmonization with other PMI standards For example a detailed planning process
for Plan Schedule Management reinforces the need for detailed planning to address project scheduling issues
such as selecting the scheduling method and tool during early planning stages as part of the overall Project Time
Management processes This concept of detailed planning for project scheduling related decisions aligns with the
Practice Standard for Scheduling and ensures harmonization across PMI standards
X15 Consistency in Handling Project Management Work Execution Data and
Information Flow
To improve consistency and add clarity regarding project data and information flows during project work
execution the team redefined work performance data work performance information and work performance
reports to align with the DIKW (Data Information Knowledge Wisdom) model used in the field of Knowledge
Management467©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
• Work Performance Data The raw observations and measurements identified during activities performed
to carry out the project work Examples include reported percent of work physically completed quality
technical performance measures start and finish dates of schedule activities number of change requests
number of defects actual costs actual durations etc
• Work Performance Information The performance data collected from various controlling processes
analyzed in context and integrated based on relationships across areas Examples of performance
information are status of deliverables implementation status for change requests forecasted estimates
to complete
• Work Performance Reports The physical or electronic representation of work performance information
compiled in project documents intended to generate decisions raise issues actions or awareness
Examples include status reports memos justifications information notes electronic dashboards
recommendations and updates
The redefined data model was then applied consistently to the inputs and outputs for the various controlling and
executing processes as illustrated in Figure X11
Direct and
Manage
Project Work
Validate
Scope
Control
Scope
Control
Schedule
Control
Costs
Control
Quality
Control
Communi
cations
Control
Procure
ments
Control
Risks
Control
Stakeholder
Engagement
Work
performance
data
Monitor and
Control
Project Work
Work
performance
reports
Work
performance
information
Project document updates
Project plan updates
Change requests
Perform
Integrated
Change Control
Develop Project
Management
Plan
Manage
Communications
Manage
Project
Team
Figure X11 Refined Data Model468 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X16 Section 1—Introduction
Sections 12 14 and 16 were realigned and harmonized with first sections in The Standard for Program
Management – Third Edition and The Standard for Portfolio Management – Third Edition This ensures the
information regarding the relationship between projects programs and portfolios is treated consistently across
all three standards Additional text was added to Section 144 to expand the discussion on project management
offices Section 15 on Project Management and Operations Management was expanded to more broadly address
the relationship among project management operations management and organizational strategy A new section
was added to address the importance of interpersonal skills of a project manager and refers the reader to Appendix
X3 of the PMBOK® Guide for further discussion on the importance of interpersonal skills in managing projects
Section 18 on Enterprise Environmental Factors was moved to Section 2
X17 Section 2—Project Life Cycle and Organization
The content of Section 2 was reorganized to improve content flow and understanding The section on
organizational influence on project management was moved to the beginning of the section and expanded to
provide broader coverage of how organizational factors can influence the conduct of project teams The discussion
of enterprise environmental factors was moved into this section from Section 1 The section on stakeholders was
expanded to better address project stakeholders and their impact on project governance A new section was added
to address the characteristics and structure of the project team The section on project life cycle was moved to the
end of the section and expanded to further explain life cycles and phases
X18 Section 3 Project Management Processes for a Project
Section 3 of the PMBOK® Guide – Fourth Edition was moved into a new Annex in the PMBOK® Guide – Fifth
Edition (Annex A1 – The Standard for Project Management of a Project) The introduction to this section was
cleaned up and expanded to enable this annex to serve as a standalone document This positions the Standard for
Project Management away from the main body of the PMBOK® Guide material allowing the evolution of the Body of
Knowledge material to be separate from the actual Standard for Project Management469©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X19 New Section 3 for PMBOK® Guide – Fifth Edition
A replacement Section 3 was developed for the PMBOK® Guide – Fifth edition This new section bridges the
content between Sections 1 and 2 and the Knowledge Area sections The new section introduces the project
management processes and Process Groups as in the previous editions of the PMBOK® Guide However it does not
list each of the processes associated with each of the Project Management Process Groups
X110 Split Section 10 on Project Communications Management into Two
Separate Sections
Deferred and postpublication comments on the Project Communications Knowledge Area of the PMBOK® Guide
– Fourth Edition uncovered a need to modify this Knowledge Area as well as the processes within the Knowledge
Area In general the comments fell into three groups
• Eliminate confusion created between the processes of Distribute Information and Report Performance
and their overlap with processes for Control Scope Control Schedule and Control Cost
• Tighten the focus of Project Communications Management to planning for the communications needs
of the project collecting storing and disseminating project information and monitoring overall project
communications to ensure its efficiency
• Break out and expand on stakeholder management concepts to reflect not solely upon (a) analyzing
stakeholder expectations and its impact on the project and (b) developing appropriate management
strategies for effectively engaging stakeholders in project decisions and execution but also upon
continuous dialogue with stakeholders to meet their needs and expectations address issues as they
occur and foster appropriate stakeholder engagement in project decisions and activities
Planning for and managing the communication needs of the project as well as the stakeholders’ needs are
two distinct keys to project success The concept being reinforced is that both are discrete Knowledge Areas
in which stakeholder management is not simply better management of communications nor which improved
communications is simply better stakeholder management This concept drives the need to treat these two critical
keys for project success as distinct areas
Revamping this Knowledge Area by separating Project Stakeholders Management from Project Communications
Management provides the following benefits470 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
• Focuses on not only managing the expectations of the various stakeholder groups but actively working to
ensure an appropriate level of engagement of project stakeholders in the decision making and activities
of the project
• Aligns with the growing body of research showing stakeholder engagement as one of the keys to overall
project success
• Improves the alignment between the PMBOK® Guide and The Standard for Program Management
• Aligns better with the focus on stakeholder management being put forward with the new ISO 21500
standard
• Allows better emphasis on Project Communications Management by focusing on the main purpose of
communication activities to collect store organize and distribute project information
• Enables the realignment of project communications processes thus addressing the confusion and overlap
surrounding project performance analysis and reporting
Section 10 was separated into two distinct Knowledge Areas Project Communications Management and Project
Stakeholder Management This change takes the communication processes currently contained in Section 10
and refocuses them to project communications planning executing and controlling The two current stakeholder
aligned processes within Section 10 (Identify Stakeholders and Manage Stakeholder Expectations) were moved into
a new section addressing stakeholder management Stakeholderrelated text from Section 23 was also moved into
this new section The project management processes related to managing project stakeholders were expanded to
include
• Identify Stakeholders
• Develop Stakeholder Management Plan
• Manage Stakeholder Engagement and
• Control Stakeholder Engagement471©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X111 Process Changes
As part of the process changes several process names were changed to improve consistency across the
processes and to improve clarity All processes that create a subsidiary plan were named using the form of Plan
{XXX} Management The Monitor and Controlling processes were named using the form Control {XXX} since the
act of controlling a process includes monitoring the process These changes improved the consistency of how
processes are named across all processes In addition to process name changes several other processes were
added or modified as described elsewhere in this appendix The list below summarizes the process changes
• 43 Direct and Manage Project Execution—changed to Direct and Manage Project Work
• 51 Plan Scope Management—added
• 55 Verify Scope—changed to Validate Scope
• 61 Plan Schedule Management—added
• 71 Plan Cost Management—added
• 81 Plan Quality—changed to Plan Quality Management
• 83 Perform Quality Control—changed to Control Quality
• 91 Develop Human Resource Plan—changed to Plan Human Resource Management
• 102 Plan Communications—changed to Section 101 Plan Communications Management
• 103 Distribute Information—changed to Section 102 Manage Communications
• 105 Report Performance—changed to Section 103 Control Communications
• 116 Monitor and Control Risks—changed to Control Risks
• 121 Plan Procurements—changed to Plan Procurement Management
• 123 Administer Procurements—changed to Control Procurements
• 101 Identify Stakeholders—moved to Section 131 Identify Stakeholders
• 132 Plan Stakeholder Management—added
• 104 Manage Stakeholder Expectations—changed to Section 133 Manage Stakeholders Engagement
• 134 Control Stakeholders Engagement—added472 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X112 Section 4—Project Integration Management Changes
Process definitions were revised for Develop Project Charter Develop Project Management Plan Direct and
Manage Project Work Monitor and Control Project Work and Perform Integrated Change Control to better align
with the PMI Lexicon and improve clarity of the definitions The Direct and Manage Project Execution was
renamed to Direct and Manage Project Work to better align with its definition and reinforce that this process
applies beyond the Executing processes Other changes consist primarily of expanded explanations refinements
to tools and techniques for several processes and refinements to the inputs and outputs for several processes to
better tie the integration processes to other project management processes A table was added to the discussion
of the output for of the Develop Project Management Plan process to bring clarity to the differentiation between
project documents and Inputs and outputs were adjusted for several processes to reflect the new model of
project data and information flow during the execution of project work
The following table summarizes the Section 4 processes
Table X11 Section 4 Changes
Fourth Edition Sections Fifth Edition Sections
41 Develop Project Charter 41 Develop Project Charter
42 Develop Project Management Plan 42 Develop Project Management Plan
43 Direct and Manage Project Execution 43 Direct and Manage Project Work
44 Monitor and Control Project Work 44 Monitor and Control Project Work
45 Perform Integrated Change Control 45 Perform Integrated Change Control
46 Close Project or Phase 46 Close Project or Phase473©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X113 Section 5—Project Scope Management Changes
In Section 51 the concept of a Develop Scope Management Plan process was brought back as a way to
ensure consistency across all project planning processes and to reinforce that subsidiary plans are developed to
plan the details for each major Knowledge Area To support consistency in naming the processes that create the
subsidiary plans the Develop Scope Management Plan was named Plan Scope Management The discussion within
the Collect Requirements process was expanded to make clear this process focuses on collecting all requirements
necessary for project success These requirements include the requirements for the product service or result to be
delivered by the project any quality requirements the project must meet and any other project management related
requirements deemed critical for project success The Verify Scope process was renamed to Validate Scope and
the text was reworked to add emphasis that this process is not solely about accepting deliverables but validating
that the deliverables will deliver value to the business and confirms that the deliverables as provided will fulfill
the project objectives as well as their intended use to the project stakeholders Inputs and outputs were adjusted
for several processes to reflect the new model of project data and information flow during the execution of project
work
The following table summarizes the Section 5 processes
Table X12 Section 5 Changes
Fourth Edition Sections Fifth Edition Sections
51 Plan Scope Management
51 Collect Requirements 52 Collect Requirements
52 Define Scope 53 Define Scope
53 Create WBS 54 Create WBS
54 Verify Scope 55 Validate Scope
55 Control Scope 56 Control Scope474 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X114 Section 6—Project Time Management Changes
Section 6 reflects changes within the industry and detailed in the Practice Standard for Scheduling –
Second Edition
As part of reinforcing the concept of detailed subsidiary plans being created for each major Knowledge Area
and then aggregated into the overall project management plan a new process was added for Plan Schedule
Management This process adds focus on the preliminary decisions around developing and maintaining the
project’s schedule model Process definitions were revised for Define Activities Estimate Activity Resources
Estimate Activity Durations and Control Schedule to improve clarity of the definitions Several processes were
modified with new inputs andor updated outputs Agile concepts were incorporated into the Develop Schedule
process Figures and associated text were updated to clarify scheduling concepts addressed in the section
Added emphasis was placed on resource optimization techniques used in project scheduling Some inputs and
outputs were renamed for several processes to support consistency between the various project management
processes Inputs and outputs were adjusted for several processes to reflect the new model of project data and
information flow during the execution of project work
The following table summarizes the Section 6 processes
Table X13 Section 6 Changes
Fourth Edition Sections Fifth Edition Sections
61 Plan Schedule Management
61 Define Activities 62 Define Activities
62 Sequence Activities 63 Sequence Activities
63 Estimate Activity Resources 64 Estimate Activity Resources
64 Estimate Activity Durations 65 Estimate Activity Durations
65 Develop Schedule 66 Develop Schedule
66 Control Schedule 67 Control Schedule475©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X115 Section 7—Project Cost Management Changes
Section 7 reflects changes coming from within the industry and detailed in the Practice Standard for Estimating
and the Practice Standard for Earned Value Management – Second Edition
As part of reinforcing the concept of detailed subsidiary plans being created for each major Knowledge
Area and then aggregated into the overall project management plan a new process was added for Plan Cost
Management This process adds focus on the preliminary decisions around developing and maintaining the
project’s cost estimates and budget Added emphasis was placed on reserve analysis including contingency and
management reserves with a new figure Figure 78 added to illustrate the various components making up the
project budget A new table Table 71 on earned value calculations summary was added to collect in one place
all of the formulas used for earned value analysis Figures for earned value and project funding requirements
were updated to reflect the added emphasis on management reserves Some inputs and outputs were renamed
for several processes to support consistency between the various project management processes Inputs and
outputs were adjusted for several processes to reflect the new model of project data and information flow during
the execution of project work
The following table summarizes the Section 7 processes
Table X14 Section 7 Changes
Fourth Edition Sections Fifth Edition Sections
71 Plan Cost Management
71 Estimate Costs 72 Estimate Costs
72 Determine Budget 73 Determine Budget
73 Control Cost 74 Control Costs476 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X116 Section 8—Project Quality Management Changes
No new processes were added in the project management processes contained within this section The Quality
Planning process was renamed Plan Quality Management to support consistency in naming the processes that
create the subsidiary plans The definition for Plan Quality Management was updated to better align with the added
focus on quality requirements for the project The Perform Quality Control process was renamed Control Quality to
support consistency in naming the various controlling processes Changes consist primarily of expanding discussion
on various tools and techniques within the Quality Management processes Figure 82 on IPECC and PDCA Cycles
in Relation to QA QC and COQ was added to illustrate the fundamental relationships between quality assurance
quality control and cost of quality to the PlanDoCheckAct and InitiatePlanExecuteControlClose models A
new input was added for the Plan Quality Management process to better tie the requirements gathered during the
Collect Requirements process to the overall quality planning for the project More emphasis was placed on the
basic quality management tools used in managing project quality New figures were added to better summarize
the seven basic quality tools and the seven quality management and control tools Some inputs and outputs were
renamed for several processes to support consistency between the various project management processes Inputs
and outputs were adjusted for several processes to reflect the new model of project data and information flow
during the execution of project work
The following table summarizes the Section 8 processes
Table X15 Section 8 Changes
Fourth Edition Sections Fifth Edition Sections
81 Plan Quality 81 Plan Quality Management
82 Perform Quality Assurance 82 Perform Quality Assurance
83 Perform Quality Control 83 Control Quality477©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X117 Section 9—Project Human Resource Management Changes
No significant changes were implemented in project management processes contained within this section
The Human Resource Planning process was renamed Plan Human Resource Management to support consistency
in naming the processes that create the subsidiary plans Changes consist primarily of some added or modified
inputs tools and techniques and outputs and the replacement of project management plan by human resource
plan as an input of processes 92 Acquire Project Team 93 Develop Project Team and 94Manage Project Team
for consistency with processes in other Knowledge Areas The definitions for Plan Human Resource Management
Acquire Project Team and Develop Project Team were updated to better align with the details of these processes
Some inputs and outputs were renamed for several processes to support consistency in how information flows
between the various project management processes
The following table summarizes the Section 9 processes
Table X16 Section 9 Changes
Fourth Edition Sections Fifth Edition Sections
91 Develop Human Resource Plan 91 Plan Human Resource Management
92 Acquire Project Team 92 Acquire Project Team
93 Develop Project Team 93 Develop Project Team
94 Manage Project Team 94 Manage Project Team478 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X118 Section 10—Project Communications Management Changes
Information about stakeholder management was moved from Section 10 to a new Knowledge Area for
Stakeholder Management The Plan Communications process was renamed Plan Communications Management
to support consistency in naming the processes that create the subsidiary plans The processes for Distribute
Information and Report Performance were reworked to clear up confusion between these processes and their
overlap with processes for Control Scope Control Schedule and Control Cost The processes were refocused
toward the activity of communication as performed in projects considering more the process of communicating
rather than the intent or desired outcome of the message with emphasis on planning for the communications
needs of the project collecting storing and disseminating project information and monitoring overall project
communications to ensure its efficiency The process names were changed to Manage Communications and
Control Communications The definitions for Plan Communications Management Manage Communications
and Control Communications were updated to reflect these changes Some inputs and outputs were renamed
for several processes to support consistency between the various project management processes Inputs and
outputs were adjusted for several processes to reflect the new model of project data and information flow during
the execution of project work
The following table summarizes the Section 10 processes
Table X17 Section 10 Changes
Fourth Edition Sections Fifth Edition Sections
101 Identify Stakeholders Moved to 131
102 Plan Communications 101 Plan Communications Management
103 Distribute Information 102 Manage Communications
104 Manage Stakeholder Expectations Moved to 133
105 Report Performance 103 Control Communications479©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X119 Section 11—Project Risk Management Changes
No significant changes were implemented in project management processes contained within this section
The Monitor and Control Risks process was renamed Control Risks to support consistency in naming the various
controlling processes Changes were made to move the emphasis away from the term positive risks toward
opportunity to better align with the feedback from the project management community Text was added to expand
upon the concepts of risk attitude risk appetite risk tolerance and risk thresholds Other changes consist primarily
of cleaning up text incorporating feedback and aligning inputs and outputs with changes from other Knowledge
Areas Some inputs and outputs were renamed for several processes to support consistency between the various
project management processes Inputs and outputs were adjusted for several processes to reflect the new model
of project data and information flow during the execution of project work
The following table summarizes the Section 11 processes
Table X18 Section 11 Changes
Fourth Edition Sections Fifth Edition Sections
111 Plan Risk Management 111 Plan Risk Management
112 Identify Risks 112 Identify Risks
113 Perform Qualitative Risk Analysis 113 Perform Qualitative Risk Analysis
114 Perform Quantitative Risk Analysis 114 Perform Quantitative Risk Analysis
115 Plan Risk Responses 115 Plan Risk Responses
116 Monitor and Control Risk 116 Control Risks480 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X120 Section 12—Project Procurement Management Changes
The Plan Procurements process was renamed Plan Procurement Management to support consistency in
naming the processes that create the subsidiary plans The Administer Procurement process was renamed Control
Procurements to support consistency in naming the various controlling processes Other changes consist primarily
of cleaning up text incorporating feedback and aligning inputs and outputs with changes from other Knowledge
Areas Some inputs and outputs were renamed for several processes to support consistency between the various
project management processes Inputs and outputs were adjusted for several processes to reflect the new model
of project data and information flow during the execution of project work
The following table summarizes the Section 12 processes
Table X19 Section 12 Changes
Fourth Edition Sections Fifth Edition Sections
121 Plan Procurements 121 Plan Procurement Management
122 Conduct Procurements 122 Conduct Procurements
123 Administer Procurements 123 Control Procurements
124 Close Procurements 124 Close Procurements481©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X121 Section 13—Project Stakeholder Management Changes
In keeping with the evolution of thinking regarding stakeholder management within projects a new Knowledge
Area was added addressing Project Stakeholder Management Information on stakeholder identification and
managing stakeholder expectations was moved from Section 10 on Project Communications Management to this
new Knowledge Area to expand upon and increase the focus on the importance of appropriately engaging project
stakeholders in the key decisions and activities associated with the project New processes were added for Plan
Stakeholders Management and Control Stakeholders Engagement Some inputs and outputs were renamed for
several processes to support consistency between the various project management processes Inputs and outputs
were adjusted for several processes to reflect the new model of project data and information flow during the
execution of project work
The following table summarizes the Section 13 processes
Table X110 Section 13 Changes
Fourth Edition Sections Fifth Edition Sections
101 Identify Stakeholders 131 Identify Stakeholders
132 Plan Stakeholder Management
104 Manage Stakeholders Expectations 133 Manage Stakeholder Engagement
134 Control Stakeholder Engagement482 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X122 Glossary
The glossary of the PMBOK® Guide – Fifth Edition has been expanded and updated to include those terms within
the PMBOK® Guide that need to be defined to support an understanding of the document’s contents
• Clarify meaning and improve the quality and accuracy of any translations
• Eliminate terms not used within the PMBOK® Guide – Fifth Edition and
• Ensure terms align and harmonize with the terms in the PMI Lexicon and other key PMI standards
X123 Data Flow Diagrams
The data flow diagrams for all project management processes were cleaned up and updated to remove
inconsistencies and ensure each diagram accurately reflects the inputs and outputs associated with a given process483©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Appendix X2
Contributors and Reviewers of
the PMBOK® Guide—Fifth Edition
PMI volunteers first attempted to codify the Project Management Body of Knowledge in the Special Report
on Ethics Standards and Accreditation published in 1983 Since that time other volunteers have come forward
to update and improve that original document and contribute to this globally recognized standard for project
management PMI’s A Guide to the Project Management Body of Knowledge (PMBOK® Guide) This appendix lists
alphabetically within groupings those individuals who have contributed to the development and production of the
PMBOK® Guide – Fifth Edition No simple list or even multiple lists can adequately portray all the contributions of
those who have volunteered to develop the PMBOK® Guide – Fifth Edition
The Project Management Institute is grateful to all of these individuals for their support and acknowledges their
contributions to the project management profession
X21 PMBOK® Guide—Fifth Edition Core Committee
The following individuals served as members were contributors of text or concepts and served as leaders
within the Project Core Committee
The following individuals served as members were contributors of text or concepts and served as leaders
within the Project Core Committee
Dave Violette MPM PMP Chair
Joseph W Kestel PMP Vice Chair
Nick Clemens PMP (Sections 3 and 4 Lead)
Dan Deakin PMP (Sections 11 and 12 Lead)
Theofanis C Giotis PMP PMIACP (Sections 1 and 2 Lead)
Marie A Gunnerson (Sections 6 and 7 Lead)
Vanina Mangano PMP PMIRMP (Integrated Content and Change Control Lead)
Mercedes Martinez Sanz PMP (Sections 5 and 8 Lead)
Carolina Gabriela Spindola PMP SSBB (Quality Control Lead)
Kristin L Vitello CAPM Standards Project Specialist484 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
X22 PMBOK® Guide—Fifth Edition Subcommittee
The following individuals served as contributors of text or concepts and as leaders of the Project Subcommittee
Matthew B Anderson PMP PMIACP (Section 4 Leader)
Gilbert B Asher MBA PMP (Data Flow Working Group Leader)
Brad Bigelow PMP MSP (Section 2 Leader)
Cecilia Boggi PMP (Section 9 Leader)
Bernardo O Bustamante PE PMP (Section 1 Leader)
Akshata Karanth PMP (Section 6 Leader)
David L Keeney PMP CTT+ (Section 8 Leader)
David Kramer (Section 12 Leader)
Karthikeyan Kumaraguru MS PMP (Section 11 Leader)
MaryElizabeth Larson PMP CBAP (Section 5 Leader)
Charles J Lesko Jr PhD PMP (Section 10 Leader)
Claudia Alex Morris MBA PMP (Editorial Leader)
John M Nevison (Section 7 Leader)
MKRamesh BE PMP (Section 3 Leader through 62011)
Krupakar Reddy PMP PRINCE2 Practitioner (Section 3 Leader)
Yad Senapathy (Section 4 Leader through 62011)
Anca E Slușanschi MSc PMP (Section 13 Leader)
X23 Significant Contributors
In addition to the members of the Project Core Committee and Subcommittee the following individuals provided
significant input or concepts
George F Burton MBA PMP
Tammy Clark
Joel R Erickson MAcc PMP
Stanisław Gasik PhD
Ashok Jain PMP CSM
Andrea Pantano PMP
Federico Roman Demo PMP ITIL
Anthony Tsui MIT PMP
Jennifer L Walker PMP485©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
X24 PMBOK® Guide—Fifth Edition Content Committee
The following individuals were contributors of text or concepts and provided recommendations on drafts of the
PMBOK® Guide—Fifth Edition
Humayun Akhtar PE PMP
Mark O Alexander PEng PMP
Miguel Angel Hernandez Ayala MBA PMP
Katherine A Barnoski PMP CPCP
Sameer S Bendre PMP CSM
Manuela Borlovan
Hector E A Boye MSc PMP
Carlos M Brenes MPM
Kevin Brennan PMP CBAP
Melissa F Bull PMP
Guido Caciagli B PMP
Jesus Mario Garcia Cano PMP
Ramesh Chandak
Carol Dekkers PMP CFPS
Wayne D Ellis PE PMP
Andrés Falcón MBA PMP
Anna Maria Felici PMP CMC®
Sachin Ghai PMP
Juan Carlos González PMP ITIL
Mike Griffiths PMP PMIACP
Joseph Gruber PMP CAPM
Sharnikya F Howard MBA PMP
Harold S Hunt PMP
Suhail Iqbal PgMP PMP
Rajan T Janjani PMP ITIL Expert
Chandrashekhar S Joshi PMP
Chartered Engineer
Puja Kasariya PMP
Khalid Ahmad Khan PE PMP
Terri Herman Kimball PMP
Vijay Kumar
Gaspar Pacheco Leal PMP
Nguyen Long Son PMP PMIRMP
Debra J Lovelace PMP
Tom Magee MBA PMP
Ahsan Maqbool PMP PMIRMP
Conrado Morlan PgMP PMP
Tilden Moschetti
Jacob Kottackal Ninan
Abdul Nsubuga
Reuben Oshomah MSc PMP
Marcus S Parker Sr PMP
Sergio A Peñaloza PMP
Ute Riemann MBA MCS
Nick Riordan MBA PMP
Shivkanth V Rohith PMP PMIACP
Bruce Schwickrath PMP LSSMBB
Kishankumar J Solanki
Tejas V Sura MS PMP
Federico Vargas PMP MPM
Srikanth Victory
Himanshu Shripad Warudkar PMP ITIL
S K Steve Wong PMP CMA486 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
X25 Reviewers
X251 SME Review
In addition to the members of the Committee the following individuals provided their review and recommendations
on drafts of the standard
Stephen Kwasi Agyei PMP LLM
Lavanya Arul PMP PMIRMP
Ernest Baker PMP PRINCE2 Practitioner
Mamoun Besaiso CE
James C Bradford Jr PMP
Damiano Bragantini PMP
Georgeta Brehoi PMP
Peter Brown
Andrea Caccamese PMP Prince2 Practitioner
Panos Chatzipanos PhD PE
Jared Curtis PMP
Mario C Delvas MBA PMP
Dipti Desai PMP
Lakshmi Dhruvarao PMP CSM
George Diakonikolaou PhD PMP
Peter Dimov PMP CBM
Richard Egelstaff PMP MBA
Charles T Follin PMP
Prabhat Garg PMP
Vivek Goel PMP CSM
Mustafa Hafizoglu
Dr Sheriff Hashem PhD PMP
David A Hillson PhD PMI Fellow
Christine Hoffman
Hiroto Horio PMP
David T Hulett PhD
Poornaselvan Jeevanandam
Gregory I Jepson
Kazuo Kawai PMP
Konstantinos Kirytopoulos PhD PMP
Adrian W LovelHall PMP PMIRMP
Thomas F McCabe PMP CSSMBB
Harold Mike Mosley Jr PE PMP
Daud Nasir PMP LSSBB
Alexandre Vieira de Oliveira MBA PMP
Sneha V Patel PMP
Richard Perrin
Walter Plagge MBA PMP
Marlene Derian Robertson
Fernan Rodriguez PMP
Tres Roeder MBA PMP
Guy Schleffer MBA PgMP
Nitin Shende PMP CSM
Nagendra Sherman PMP
J Greg Smith
Cyndi Snyder PMP EVP
Geree V Streun PMP PMIACP
Jurgen Sturany PMP
Yasuji Suzuki PMP
Shoji Tajima
Yvonne Tan EY PMP
Gerhard J Tekes PMP PMIOPM3
Certified Professional
Biagio Tramontana Eng PMP
Thomas M Walsh PMP
Juanita M Woods PMP PgMP
Ronaldo Zanardo CAPM
Heinz Zimmermann PMP487©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
X252 Member Advisory Group (MAG) Review
The following individuals served as members of the PMI Standards Program Member Advisory Group and voted
on the final draft of the PMBOK® Guide – Fifth Edition
Monique Aubry PhD MPM
Chris Cartwright MPM PMP
Laurence Goldsmith PMP
Paul E Shaltry PMP
Cyndi Snyder MBA PMP EVP
X253 Consensus Body Review
The following individuals served as members of the PMI Standards Program Consensus Body and voted on the
final draft of the PMBOK® Guide – Fifth Edition
Monique Aubry PhD MPM
Nigel Blampied PE PMP
Nathalie Bohbot PMP
Dennis L Bolles PMP
Peggy Brady
Chris Cartwright MPM PMP
Sergio Coronado PdD
Andrea Demaria PMP
John L Dettbarn Jr DSc PE
Charles T Follin PMP
Laurence Goldsmith MBA PMP
Dana J Goulston PMP
Dorothy L Kangas PMP
Thomas Kurihara
Timothy MacFadyen
David Christopher Miles CEng OPM3CC
Harold Mike Mosley Jr PE PMP
Mike Musial PMP CBM
Eric S Norman PgMP PMP
Deborah O’Bray CIM (Hons) 488 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Nanette Patton MSBA PMP
Crispin (Kik) Piney BSc PgMP
Michael Reed PMP
Chris Richards PMP
Paul E Shaltry PMP
Jen L Skrabak MBA PMP
Matthew D Tomlinson PgMP PMP
X254 Final Exposure Draft Review
In addition to the members of the Committee the following individuals provided recommendations for improving
the Exposure Draft of the PMBOK® Guide—Fifth Edition
Javed A Abbasi MBA PMP
Klaus Abert
Biju B Abraham PMP
Mohammad I Abu Irshaid PMP
Mohammad Adel PMP
Yaser Afaneh MSCE PMP
Eng Ahmed Taha MBA PMP
Mounir Ajam
Phill C Akinwale MSc PMP
Mfon D Akpan MBA PMP
Mobasher Abdu AlAsmry
CE KSA
Homam Al khateeb PMP
PMIRMP
Ahmad AlNahar MBA PMP
Melad Alaqra PMP
José Rafael Alcalá Gómez
MBA PMP
Martin Alemán Valdés PMP
Mohammed Faiq AlHadeethi
PMP MSc (Mech)
Anwar Ali MBA PMP
Allam V V S Venu PMP
Barnabas Seth Amarteifio
PMP ITIL
Yousif Amin PMP
Andy Anderson MA PMP
David Angelow MBA PMP
Luciano Antoniucci
Mark A Archer PhD PMP
Ondiappan Arivazhagan Ari
PMP PMIRMP
Wisdom Kwasi Asare
Amegashie
Babissakana PMP
Mohamed A Badie PMP
Prince2 Practitioner
Ammar N Baidas PgMP PMP
Kamal Bajaj PMP PGDBA
Jehad J Baker PgMP PMP
J Balamurali PMP
Federica Ballone PMP
Manuel F Baquero V MSc PMP
Brent R Barton
Anupam Baruah
Olaf Baumgartner PMP
Iain Begg PMP
Laura Benedetti
Wayne F Best
Harwinder Singh Bhatia
PMP CSM
Pius Bienz PhD PMP
Jean Binder PMP
Nigel Blampied PE PMP
Michael P Bomi BSc PMP
Raúl Borges PMP
Farid F Bouges MSc PMP
Lynda Bourne DPM FAIM
Joao Carlos Boyadjian
MSc PMP489©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Didier Brackx PMP
Jim Branden MBA PMP
Wayne R Brantley MSEd PMP
Ralf Braune PMP
Tamela J Brittingham PMP
Jerry Bucknoff MBA PMP
Syed Asad Hasnain Bukhari
MBA (MIS) PMP
Jeffrey S Busch PMP
Mario Castro Caballero
Anthony Cabri PMP
Andrea Caccamese PMP
Prince2 Practitioner
Roberto A Cadena Legaspi PMP
Jacob Calabrese CSP CBAP
Maria Cardullo
James F Carilli PgMP PMP
Christopher W Carson
PMP CCM
Angela M Cason PMP
Ralph Celento
Rebecca Cervoni PMP
Bruce C Chadbourne
PgMP PMIRMP
Kameswaran
Chandrasekaran PMP
Theodore Jiyon Chang
Ramesh Chepur PMP PRINCE2
Practitioner
Subrahmanyam VN Chinta
PMP CSM
Marcin Chomicz MBA PMP
Abhishek Chopra
Angel R Chourio PMP
Eric Christoph PMP EVP
Rose M Clark PMP
Rogerio L Clavello PMP
Xavier Clerfeuille MSc SSL
Black Belt
Paul Converti PMP CISSP
Mario Coquillat de
Travesedo PMP
Franco Cosenza PE MScEE
Jeremy Coster PMP
Raymond Covert
Holly Cowe
Adriano José da Silva Neves
MSc PMP
William L (Bill) Dam PMP CPG
Joseph W Daniel PMP
Richard Gary Daniels
Mohamed Daoud
Russell W Darnall DM PMP
Fariborz Davarpanah MBA PMP
Luiz Guilherme de Carvalho
Elisa De Mattia
PH Manjula Deepal De Silva
BSc PMP
Vijay Deshpande
Salvatore Di’iorio
George Diakonikolaou
John H Dittmer VI CISSP
ISSMP PMP
Marcelo Sans Dodson
PMP MPM
Roland Doerr MBA PMP
Serge Dolivet PMP
Bhushan Dongare
R Bernadine Douglas MS PMP
Xinhua Du
Arun Dubagunta
Stephen Duffield MPM CPPD
Pradip Kumar Dwevedi PMP
Hany A Elhay PMP
Bilal M El Itani MBA PMP
Abdurazag Elkhadrawe
William Ernest MPM PMP
Dmitry A Ezhov PMP
Leandro Faria PMP PMIACP
Daniel Fay PMP
Madhu Fernando DBA PMP
Jesse Fewell PMP CST
Claudia Fiallo PMP
John C Buck’ Field MBA PMP
Robinson Figueroa MS PMP
David Foley MBA
Sandra FonsecaLind
Scott D Freauf PMP IPMAC
Sakae Fujino
Yoichi Fukuhara PMP
Nestor C Gabarda Jr ECE PMP
Luca Gambetti PMP CFPS
Gerardo A Garavito F PMP
PMIACP
Jose Eduardo Motta Garcia
MBA PMP
Jorge Garcia Solano PMP MPM490 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Sergio Garon MS
Jay D Gassaway PMP PMPSP
Michael J Gauthier MA CPM
Darline Georges
Soumajit (Sam) Ghosh PMP
PhD Candidate
Carl M Gilbert PMP Cert OPM3
Professional
Peter James Gilliland PMP
Sulema de Oliveira Barcelos
Gobato MsC PMP
Emily Godinet Lounge PMP
Peter Goldberg
Andrés F Gómez MSc PMP
Guillermo Gomez Hdez CSM
José Abranches Gonçalves
MSc PMP
Himanshu Kumar Goswami
Jean Gouix Eng PgMP PMP
Gary J Graham CISM CISSP
Charlie Green PMP
Roy C Greenia MPM PMP
Salomon Pineda Guerrero
Pier Luigi Guida PgMP PMP
Lakshmeesha T Gundurao
PMP CSM
Guo MingHui (MARS) PMP
Kapil Gupta PMP
Edward Hall PMP
Noha Hamdy
Sharad S Harale MBA PMP
Simon Harris PMP D4®
Accredited
Abdulrahman M Hassan MSc
Gregory T Haugan Sr
PhD PMP
Larry J Hawkins DSc PMP
Susumu Hayakawa PMP
Kym Henderson RFD
MSc (Comp)
Robert Hierholtz
Robert N Higgins V PMP
Danny N Hinton PMP
Shirley P Hinton PMP
Hisashi Hirose PMP
Jack J Holmes PMP
Keith D Hornbacher MBA
Tim Hornett PMP
Christina M House PMP EMBA
Seth Huckabee
Robert F Hull PE PMP
Guillermo A Ibañez PMP ITIL
Shuichi Ikeda PMP
Hemant Israni PMP PMIRMP
Vladimir Ivanov IPMAB
Assessor ITIL Expert
Vidya Iyer PMP
Can Izgi PMP
Elaine T Jackson BS PMP
James M Jackson PMP FLMI
Rajesh Jadhav PgMP PMIRMP
Rebecca Jahelka PMP
Gagan Jain MBA PMP
Don R James PMP
Vicki James
Chandra Shekar Jayanna PMP
Johannan Johnny’ Jhirad B
Tech (IIT Bombay)
Marco Antonio Jimenez
MBA PMP
Jaime Jiménez Ayala PhD PMP
Tony Johnson PgMP PMP
Fayez Jolani MBA PMP
Michele J Jones PMP
Yves Jordan PMP
Chandrashekhar S Joshi PMP
Chartered Engineer
Rameshchandra Joshi
Donaliya K Porter MBA MPM
SS Kanagaraj PMP ITIL
Edwin J Kapinus PE PgMP
Madhavi Karanam MBA
Heinrich Karageorgou
MBA DBA
Naoki Kasahara PMP
Ramakrishna Kavirayani PMP
Kenichi Kawamata PMP
Babatunde Oluwayomi Kayode
MS ProjM MSc(PM)
Tarig A Khalid PMP CBAP
Adil Khan
Muhammad Ehsan Khan PhD
PgMP PMP
Nader Khorrami Rad PMP
Mangesh A Khunte PMP
PMIACP
Mostafa Kilani
Athens Kolias PMP MPM
Walter Kriegl PMP491©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Srikanth Krishnamoorthy
PMP PGDSA
Kannan Krishnan
Casimer Casey Kroll
PMP MASc
Gustavo Krowczuk PMP
Devesh Kumar PMP PMIACP
L Senthil Kumar PMP
Pavan S Kumar PMP
Raghu Kumar
Vladimir Kupershteyn PhD PMP
Thomas M Kurihara
Puneet Kuthiala PMP CGEIT
Massimo La Rosa PMP
Thierry Labriet PMP IPMAB
Rangarajan Lakshminarasimhan
PMP
Arun Lal
Elixender Lamprea León
PEITIL MSc IT
Hagit Landman PMP PMISP
Ayotunde O Lawal PMP CAPM
Roberta Lawrence BAppMgt
(Project Management) PMP
S Douglas Leard PMP ACP
Oliver F Lehmann PMP CLICP
Ginger Levin PhD PgMP PMP
JeanPierre Lhomme PMP
Jian Liang
Kanak Limbu PMP ITILV3
Frank MC Lin
Marco Antonio L Lo Visco
MBA PMP
Lohokare
Anand Lokhande PMP
Alberto J Lopez PMP
Samuel López González de
Murillo PMP
Zheng Lou MBA PMP
Sérgio Lourenço PMIRMP PMP
Hugo K M Lourenço PMP
Robert A Lyell PMP
Frederick G Mackaden
MBA PMP
Engr Sangu Maha Rajan BTech
Abhijit A Maity PMP
Richard Maltzman
Anthony Mampilly PMP
Kenneth Manahl
Ammar Mango
David Mantle PMP
Len Marchese PMP
Daniel Marigliano
Shobhana M BTech Prince2
Antonio Marino PMP PMIACP
Tom Mastal PMP CSM
Flávio Matsuyama PhD
Vincent McGevna PMP PRINCE2
Practitioner
Jon McGlothian MBA PMP
Alan McLoughlin BE MPM
Suzette A McNaught MBA PMP
Peter Berndt de Souza Mello
SpS PMISP
Yan Bello Méndez PMP
Katia M Méndez Madrigal
MAP PMP
Ernst Menet PMP
Rashmi Menon
Mohammed M’hamdi PMP
Joachim Modern PMP
Megat Ahmad Zainuri B
Mohamed PMP
Mannan Mohammed PMP PEng
Haitham K M Mokhtar BSc
PG Dip
Andres Molano Trujillo
Marshciene Hendrix Moor
MBA MS
Lacheta Moore
Carlos Morais
John Morck Med PMP
Harold Mike Mosley Jr
PE PMP
Saradhi Motamarri MTech PMP
Henrique Moura PMP
Nathan M Mourfield MBA PMP
Hazim Muhssin
Kristin Munro
Mike Musial PMP CBM
Khalid M Musleh PMP ISO
9001 LA
Arul SP Muthupandian
Amir Naderi Msc PMP
Basab Nandi
Sergio Nascimento
Faig Nasibov PMP
Mthokozisi Ncube MSc PMP
TaTianna K Nealy PMP RMP
Shashank Neppalli PMP
Nghi M Nguyen PhD PMP
Thuthuy C Nguyen PMP492 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Tri Hue Nguyen PMP
Idika U Ngwobia MSc PMP
Jonathan Nickerson PMP
Praveen K Nidumolu PMP CSM
Eric Nielsen PMP
Jeffrey S Nielsen PgMP PMP
Sanjay Nivargikar
Takuji Noguchi PMP
Michael Nollet
Alireza Noordoust Behtouei
Fernando Nunes de Oliveira
PMP PMISP
Henry Lapid Nuqui PEE PMP
Kevin T O’Brien PEng PMP
Peter O’Driscoll PMP
Dayo Odunlami MBA PMP
SiobhanLouise O’Keefe
Bayonle Oladoja mnse PMP
Neil Olshansky
Johnson O Omosule Bsc
Thomas Q O’Rourke PMP
PMIRMP
Venkateswar P Oruganti
PMP FIETE
Mahmoud Assaad Othmane
PMP CIPM
Maksym Ovsianikov PMP
Hariyo D Pangarso MT PMP
James W Parcels
Sandro Pasini MBA PMP
Yadaiah Pathkula
Marcello Patrese PMP PMC
Dražen Penzar PMP
Richard J Perrin PMP MBB
D John Peter PMP
Lachlan Peter CPEng PMP
Massimo Pica Brig Gen(ret)
Italian Army Dr (Eng)
Joseph Pignato
Raj Pillai PMP MIFireE
Teresita L Pineda PMP LEED AP
Crispin (Kik) Piney BSc PgMP
Jose Angelo Pinto PMP
OPM3 CC
Alan L Plastow PMP MAT
Fredric L Plotnick PhD PE
Shaligram Pokharel PhD REng
George E Porter MBA PMP
Marcus Possi MBAFGV SpS
Edwin A Provencal MBA PMP
Naseer Pervaz Qureshi
Norman Radatz PMP
João Ramalho PMP
S Ramani PgMP PMP
Phalguna K Ramaraju PMP
PMIACP
Rajkumar Ramaswamy
P Eng PMP
MKRamesh BE PMP
Gurdev Randhawa
Raghunathan Rangapathy PMP
Madhavan S Rao PMP
Raju N Rao PMP Cert OPM3
Professional
Michael Reed PMP
Vicky Restrepo PMP
Gustavo De Abreu Ribas PMP
Andriele Ribeiro MSc PMP
Juan Carlos Ribero Gomez PMP
Richard A Rodberg PMP
Bernard Roduit
David Roe PMP
Brandon Joseph Rogers PMP
Yvette Roserie PMP
Cecile T Ross PMP
Mohamed Saad
Kumar Sadasivan PMP
Mihail IE Sadeanu PhD PMP
Keiko Sakagami PMP
Eng Salem Mahaboob Saliha
Sheriff MBA PMP
Christian Q Salvaleon
Angela M Sammon PMP
Ranga Sarangan MBA PMP
Vikas Sarin PMP ME(SS)
Kyoichi Sato PMP
Sara Sattar PMP
Anatoliy A Savin PMP
Doina T Scafaru PMP
Danilo Scalmani PMP
Gary D Schmitz PMP
Martin R Schneider
William T Schulz PMP
Ulrich Schumann PMP
Hemant Seigell MBA PMP
Yoshiro Sekihara
Dhruba P Sen PMP CSDP
Maharajan Skandarajah PMP
Shrenik Shah PMP493©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Nitin Shende PMP CSM
Kazuo Shimizu PMP
David Shirley MBA PMP
Sandeep Shouche PgMP PMP
Hilary Shreter MBA PMP
Sameer Siddhanti MSc PMP
Edson Silva
Evandro Silva
Fay Simcock
Gurpreet Singh MBA PMP
Ravi H Singh PMP
Nabakishore Singha Y
EMBA PMP
Rajesh Singla PMP
Darnell Singleton PMP MSPM
Sumit Kumar Sinha PMP
Malik Skaljic PMP MBA
Charles D Smith PMP
J Greg Smith
Kenneth F Smith PMP DPA
Cyndi Snyder PMP EVP
Pamela Soderholm PMP
Emad Eldin Soliman
Wang Songping
Mauro Sotille PMP
Frank Spiegel PMP
Babou Srinivasan PMP
Ravishankar Srinivasan PMP
Sriram Srinivasan PMP
ITIL Expert
Dennis E Stevens
Kevin Stokes
Zendre Strother
Murali Sundararaju PMP
Yasuji Suzuki PMP
Sudhir Swamy PMP
Marcus Tabart PMP
Afif Tabsh PMP
Shoji Tajima PMP ITC
Roberto Taraschi PMP
Isabella Taschetta PMP
Sunil Telkar PMP MIMA
John G Terdik PMP CSM
Carlos Tessore PhD PMP
Riad Thalji PMP
Srinivasan Thiruvengadathan
John B Thomas PMP
Sal J Thompson MBA PMP
Ronald Togatorop PMP
Mark Tolbert PMP
Ricardo Torres
Luis Eduardo Torres
Calzada PMP
John T Tracy MBA PMP
Mario H Trentim PMP PMIRMP
Ankit M Trivedi MS PMP
Mahmoud M Turkistani PMP
Bruce E Turner PhD PMP
Junichi Uchiyama PMP
Hafiz Umar
Krishnakant T Upadhyaya PMP
Srikanth US MS PGCPM
M Fahad Usmani PMP PMI
RMP
Ali Vahedi Diz PgMP PMP
Richard E Vail PMP
Jorge Valdés Garciatorres
PMP ACB
José Félix Valdez PMP
Tom Van Medegael PMP
Mårten van Rheinberg PMP
PMIACP
Stephan Vandevoorde Ing
Ravi Vanukuru BE PMP
Lelio Varella PMP
Ricardo Viana Vargas MSc PMP
Jouko Vaskimo PMP IPMA
Level B
Cynthia A Vaughn MBA PMP
Isabel Rosario Vega
Palomino PMP
Vedananda V Venkata MS PMP
Thierry Verlynde MS PMP
Basskar Verma
Aloysio Vianna Jr PMP
Jaime Videla PMP
Carlos Augusto Freitas
PMP CAPM
Tiziano Villa PMP CMC
Jorge Archivaldo Villa CE
Ananth Vishakantiah PMP
Mangi Vishnoi PMP MIEAust
Poonam Vishnoi PMGTI
Yiannis Vithynos PMP PMIACP
Atin Wadehra MBA PMP
Paul Waits Jr PMP CPM
Xiaojin Wang PhD PMP
Patrick Weaver PMP FAICD
Kevin R Wegryn PMP MA494 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Stacia Weiner PMP
Roger K Weld PE PMP
Philip Wells PMP CEH
Sean Whitaker MBA PMP
S White
Rebecca A Winston JD
Stephen Wise PMP
Sheng Jun Tony Wu PMP
Wenyi Xiao PMP
Chen YanJi PMP
Clement CL Yeung PMP
Masafumi Yoshizawa PMP
Yong Yu
Ricardo T Yugue MSc PMP
Azam M Zaqzouq MCT PMP
Omran Mohamed Zbeida
PMP BSP
Bin Zhang
Salim Zid PMP LEED AP BD+C
X26 PMI Standards Program Member Advisory Group (MAG)
The following individuals served as members of the PMI Standards Program Member Advisory Group during
development of the PMBOK® Guide—Fifth Edition
Monique Aubry PhD MPM
Margareth FS Carneiro MSc PMP
Chris Cartwright MPM PMP
Terry CookeDavies PhD
Laurence Goldsmith PMP
Paul E Shaltry PMP
Cyndi Snyder MBA PMP EVP
John Zlockie MBA PMP PMI Standards Manager495©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
X27 Harmonization Team
Karl F Best CAPM CStd
Steve Butler MBA PMP
Folake Dosunmu PgMP OPM3
Randy Holt MBS PMP Chair
Dorothy L Kangas PMP
Joseph W Kestel PMP
M Elaine Lazar AStd MA
Timothy MacFadyen
Vanina Mangano
David Christopher Miles CEng OPM3CC
Eric S Norman PgMP PMP
Michael Reed PMP
Chris Richards PMP
Jen L Skrabak MBA PMP
Carol Steuer PMP
Bobbye S Underwood PMP PMIACP®
Dave Violette MPM PMP
Kristin Vitello CAPM
Quynh Woodward MBA PMP
John Zlockie MBA PMP
X28 Production Staff
Special mention is due to the following employees of PMI
Donn Greenberg Publications Manager
Roberta Storer Product Editor
Barbara Walsh Publications Production Supervisor496 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
X29 Contributors to Past Editions
X291 The PMBOK® Guide—Fourth Edition
Cynthia Stackpole MBA PMP Project Manager
Karen Rasmussen Noll Deputy Project Manager
Murray Grooms BA PMP (Communications)
Sandra Hyman (Chapter Coordinator)
Joseph W Kestel PMP MSIS (Chapter 3 and 5 Lead)
Tom Malicki (Volunteer Lead Front & Back Lead)
Clifford W Sprague PMP (Volunteer Coordinator)
Geree V Streun CSQE PMP (Chief Architect)
Kristin L Vitello Standards Project Specialist
X292 Other Contributors
Wayne F Abba
Ahmed Taha Abd El Hameed
Ir Hj Ahmad Khairiri Abdul Ghani
Int PE ASEAN Eng
Klaus Abert
Biju B Abraham PMP
Ed Adelman PMP
Yasser Thiab Ali Afaneh
Mohit Agarwal
Upinder Aggarwal PMP
Eva D Aimable
Shigeru Akiba PMP
Phill C Akinwale PMP
James E Aksel MS PMP
Neil F Albert
Mohammad M Ali
Hussain Ali AlAnsari
Eur Ing C Eng
Mohammed Abdulla AlKuwari
Eur Ing PMP
Graeme A Allan
BSc(Hons) PMP
Marcia de Almeida
Wasel A AlMuhammad
MBA PMP
Noor Hamad Alnisif PMP
Fayez Mosaed AlTalhi PMP
Alonso Loaiza A PMP
Barnabas Seth Amarteifio PMP
Ketal Amin BB PMP
Alok N Anadkat BS PMP
P Lingesh Ananth PMP
Abel Andrew Anderson
CBM PMP
Chet R Anderson PMP
Niels Erik Andersen MSc CS
Jagathnarayanan P Angyan
FIE CE
Ondiappan Arivazhagan Ari
PMP CSSBB
Muhammad Waqar Asghar PMP
Syed S Asghar MSA PMP
Usman Asif PMP
Naing Moe Aung PMP
Shigeo Awamura
Mike Awuah MBA PMP
Tanin I Ayabakan MD PMP497©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Jacklyn AyoungChee
MBA PMP
Mahadhir Aziz PMP
Karthegesan B MBA PMP
Rozinah Bachik MSc (PM) PMP
Ernest Baker PMP
Ramanan Balakrishna PMP
Sunil Bansal PMP
Ricardo do Rêgo Barros PMP
Patricia J Bartl PMP
Nazir M Bashir PMP
Herminia Bastos PMP CMC
Mohammed Safi Batley MIM
Fred Beckmann PMP
Debra C Bedford
Julia M Bednar PMP
Eric Berry PMP
Stephen Berté PhD PMP
Mamoun A Besaiso CE
Dale L Beyer MBA PMP
Christie Biehl EdD PMP
Shantanu Bhamare PMP
Alok Bhaskar MBA PMP
Kurmarao V Bhavanasi PMP
Artur Bialy PMP
Craig Nicholas Blackford
Rhonda R Blevins PMP
Edward Bogak MBA
Dennis L Bolles PMP LLC
Stephen F Bonk PMP PE
Adolfo Borja MBS PMP
Al Bornmann PE PMP
Lyn Bos MHA MBA
JeanLuc Boulanger PMP
Lynda Bourne DPM PMP
Didier Brackx EMS Prof PMP
Robin G Bradshaw PMP
Carlos Eduardo M F Braga PMP
Wayne R Brantley MS Ed PMP
Ralf Braune PMP
Michael C Broadway PMP
Alex S Brown PMP IPMAC
Ian A Brown MBA PMP
Jerry L Brown PMP
Joan Browne
Jeannine Allison Bryan
Pat Buckna PMP
Camper Bull PMP
Mitchell S Burke MS MBA
Janet P Burns PMP
Kenny E Burrow PhD PMP
Bernardo O Bustamante
PE PMP
John Buxton PE PMP
Andrea Caccamese PMP
PRINCE2 Practitioner
Roberto Alejandro Cadena
Charles Cain PMP
Teresa W Calhoon PMP
Sergio A Calvo PMP
Luis Eduardo Torres Calzada
MPM PMP
Franco Caron PhD
Alejandro M Polanco Carrasco
Chris Cartwright MPM PMP
Brian L Cassita
Roberto Castro
William A Cather PhD PMP
Roberto Celkevicius PMP ITIL
Bruce C Chadbourne
PMP PgMP
K K Chakraborty PMP BE
Krishna Datta Nallani
Chakravartula MBA PMP
KaKeung Chan PMP MBA
Paul E Chaney PMP
Supriyo Chatterji MCA PMP
Tony Tze Wai Chau PMP MAPM
Noman Zafar Chaudry PE PMP
Ashish Chawla MS
Zhen Cheng
David Kwok Keung Chenung
Ramesh Chepur CSQA PMP
David K Cheung MSc MBA
Tomio Chiba PMP
Ananaba Marcellinus
Chikwendu MBA PMP
HsingTung Chou PhD
LungHung Roger Chou
PMP MCT
David Christensen
Manuel Cisneros MBA PMP
Douglas Clark
Darrell S Cleavenger PMP
Alexandre Coelho PMP
Richard J Coffelt PMP
Brenda Connor PMP
Terry CookeDavies PhD FCMI
Edmund H Conrow PhD PMP498 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Betty Corbin PMP
John E Cormier PMP
Mauricio E Cornejo PMP
Anthony R Corridore PMP
William T Craddock
Larry E Criger PE PMP
Darren D Criglar MLA MA
Jacqueline M Cruit PMP
Mary Colleen Cullinan PMP
Michael J Cunningham PMP
Craig CurranMorton MA PMP
Robert L Cutler PMP
Barbara Y DaCosta MPA PMP
Venkatesh Dakshinamurthy
Claudio D’Arcangelo PMP
Claudio Da Rold PMP
Anirban Das PMP
Venkateswarlu B Dasigi
PhD PMP
Patricia A DavidGentsch
Allan Edward Dean MBA PMP
Jim Delrie PE PMP
Madhavi Desai MS PMP
Rahul P Deshpande
Anita Dhir PMP
Laurie Diethelm CAPM
David Dominguez
Nick Doralp PMP ECM
George R Dorer MBA PMP
Bernadine Douglas
Nicolas Douliez
Nigel O D’Souza PMP ITIL
John A Dullnig PMP
Francine J Duncan MIEEE PMP
Azra Duric PMP
Teresa Duvall PMP CDR
Phillip Dyer PMP
G Ebynayagam
Susan Holly Edelman PMP
Judith A Edwards PhD PMP
Paul J Egan
Tarek ElMisalami PhD PMP
Waleed M ElToulkhy PMP
Ramon Espinoza PMP
Brian M Evans PMP
Peter EwartBrookes PMP
Steven L Fahrenkrog PMP
Bruce E Falk PMP
John L Fallon PMP
Giovanni Fanduiz MSc PMP
Sabeeh U Faruqui
BE Elect PMP
Kathleen M Federici
MEd CAPM
AnnaMaria Felici PMP CMC
Luis Cláudio Tavares
Fernandes PMP
Marcelo B Ferreira
Ann Marie Ficarra PMP
Michael H Fisher MSPM PMP
Matthew J Fiske PE PMP
Cheryl Fitzgarrald PMP
Edgardo J Fitzpatrick PMP
Martin Flank MBA PMP
Joel E Fleiss PMP
Quentin W Fleming
Gloria Elena Folle Estrada
Charles T Follin PMP
Dean J Fragos
Amanda Freitick
Scott D Freauf PMP
Mark R Friedman CISA PMP
Scott J Friedman PMP
Andrew H Furber PMP PRINCE2
W Anders Fusia PMP
Ravindra Gajendragadkar PMP
Sharyn H Gallagher EdD PMP
Xue Gang (Gabriel) PMP QSLA
George F Garas MBA
Jose Eduardo Motta Garcia
MBA PMP
Anand Swaroop Garg
Stanisław Gasik
Jay D Gassaway
David P Gent CEng PMP
Mitchlyn Gentry MISM
Joseph Sanju George
Subir Ghosh PMP
Carl M Gilbert PMP OPM3AC
Peter James Gilliland PMP
Theofanis Giotis MSc PMP
Fernando Hurtado Giraldo
Jonathan Glaser PhD PMP
Sulema de Oliveira Barcelos
Gobato MSc PMP
Joelle A Godfrey PMP
Vivek Goel PMP
Marshall Goldman PMP
Roger K Goodman PMP499©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Jean Gouix Eng PMP
Priyesh Gopalakrishnan
Derek R Grant BSc PMP
Thomas J Gray PE PMP
Paul A Green BSc (Hons)
Donn Greenberg
Roy Greenia
Stephen Grey PhD
Mireya Grieco PMP
Liz Grinzo PMP
Torben Grut PMP
Jeff Jianfei Gu MBA PMP
Ruth Anne Guerrero MBA PMP
Pier Luigi Guida Ing PMP
Joy Gumz CPA PMP
Marie Gunnerson
Swati Gupta PMP
Raj Guttha
Anne N Gwankobe PMP CSSGB
Mustafa Hafizoglu PMP
Edward Hall PMP CQM
Matthew W Handi PMP
John Haneiko PMP
Sharad S Harale PMP MIM
Kurt J Harris PMP
Donna M Harrison PMP
Akkiraju V Harshavardhan PMP
Dr Sheriff Hashem PhD PMP
Mohamed Hassan PMP CSWP
Lawrence Hattenburg PMP
Larry J Hawkins DSc PMP
Ernesto Yo Hayashi MEng
Jim Hayden PMP
Gary R Heerkens PMP PE
Mohamed S Hefny MSc PMP
Krzysztof Hejduk PhD PMP
Kel Henderson
Robert Hierholtz
Gary Higgs
Hideyuki Hikida PMP
Merleen Cowie Hilley
Bob Hillier PMP
David A Hillson PhD PMP
Lecia L Hogan MPM
Mark Holdrege
Carol Holliday MA PMP
Felicia Hong PMP MBA
George H Hopman PhD PE
Tim Hornett PMP
Gheorghe Hriscu PMP OCP
ChihYang Hsia PMP MBA
Jeff M Hughes BA (Hons) PMP
David T Hulett PhD
Theresa L Hunt CSQE CSTE
Marta Hurst CLSSBB
JeanPierre Husereau PMP
OPM3CC
Huma Hydari MBA PMP
Zulfiqar Hussain PE PMP
Midori Ito
Suhail Iqbal PE PMP
George Jackelen
David S Jacob MS PE
Tony Jacob PMP
Dhanojkumar D Jadhav
Ashok Jain PAHM PMP
TD Jainendrakumar PMP
Nilesh D Jaltare PMP
Ganesh Jambunathan PMP
Raj Kumar Jhajharia PMP
Marco Antonio Jimenez
PMP MBA
Merna M Johnson PMP
Tony Johnson PMP PgMP
Elden F Jones II PMP MSPM
Marylinda Jones PMP Six
Sigma Greenbelt
Michele J Jones PMP
Nancy A Joseph PMP
George Jucan PMP
Marijana Jurgec
Lenin Babu Kamma PMP
Nils Kandelin PhD PMP
Edwin J Kapinus PMP PE
Sanjay Kapoor
Carl Karshagen PMP
Puja Kasariya PMP
Kenneth P Katz PMP
Ramakrishna Kavirayani PMP
Kenichi Kawamata PMP
Genny Kelly
Lance Kelson CISSP PMP
Tom Kendrick PMP
Roger Kent PMP
Joseph W Kestel MSIS PMP
Rameshchandra B Ketharaju
Thomas C Keuten PMP
OPM3CC
Hamed Keyvanfar500 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Tausif Khawaja
Jim Kinard PMP
Konstantinos Kirytopoulos
PhD PMP
Joan Knutson PMP
Kimberly A Kook PMP ITIL
Foundations
Roman S Kosarzycki PMP
Chetana S Koulagi PMP CSQA
Mark Krahn PhD PMP
Edie E Kubomoto PMP CQM
Takahiko Kuki PMP JPE
Milan Kumar MCM ITIL
Sasi Kumar PMP
Karthikeyan Kumaraguru
MS PMP
Vijaya Kurada MBA PMP
Thomas M Kurihara
Lisa M LaCourse PMP
Jerry D Lainhart PMP
S Lakshminarasimhan
MBA(Fin) PMP
Tim KY Lam PMP MBA
Philippe Landucci PMP
David J Lanners MBA PMP
David K Larson
MaryElizabeth Larson
PMP CBAP
Richard G Larson PMP CBAP
Marta M Laszcz PMP
Charlene Lattier PMP
Jim Lee Sr PMP
Patty Leung
Juanita Jane Lightfoot
Donald Likens
Diana Lilla MA PMP
Michelle Z LimWatson
Robin Lindenmeier PMP
Michael Linegar PMP MBA
Kristin Linoski PMP
John D Lissaman BEng PMP
Arden Lockwood MBA PMP
Mary K Lofsness
Anand Lokhande PMP
Alberto Lopez PMP
Enrique LópezMingueza PMP
Margaret L Love PMP
Adrian LovelHall
Angela ChengJui Lu PhD PMP
Chuanqing James Lu PMP
Yves M Lucas PMP
Christina Luik
Raymond Maczka
Shankar Mahadevan PMP CWA
Robin Maher
Catryana C Malcolm PMP
Konstantinos Maliakas PMP
Rich Maltzman PMP
Vasantha R Manda MS PMP
Rick Mandarino PMP MBA
Srinivas Mandgi PMP SAP HR
Carmelene Mangahis
Ammar W Mango PgMP PMP
Brian J Mangravite
Joachim Manz PhD PMP
Lou Marks PMP
Mark Marlin PMP PE
Robert A Marshall PhD PMP
Cristinel Damian Martalogu
John A Marzullo PMP
Rebecca P Masucci
Jamie Mata
Mohit Raj Mathur PMP
Nael Mattar
Rahma Mbarki Eng MSc MBA
Laura McDonough PMP
Colleen A McGraw PMP
David McKenna MSc PMP
Yan Bello Méndez PMP
Louis J Mercken PMI
Fellow PMP
Su MeiShih PMP
Kenneth Merten
Predrag Fred Mikanovic
MBA PMP
Berne C Miller PMP CPL
Walter Warren Miller III
PhD PMP
Sumith Alvet Miranda PMP
Purvi Sheth Mishra
Gregg Mohrmann
Mark A Monteleone PMP CBAP
Gary Monti PMP
Carlos Morais PMP
John Morck
Alberto Moreno PMP
Paola Morgese PE PMP
Kaoru Mori PMP
Rogan Morrison PMP
Saradhi Motamarri MTech PMP
Bhagchand S Motwani
Stephen E Mueller PMP EVP501©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Hazim Muhssin PMP
Rita Mulcahy PMP
Philips Tharakan Mulackal
PMP CCE
Gerald Mulenburg DBA PMP
John L Murphy PE PMP
Pradeep Murti
Carlo Muzzarelli
Takamichi Nagano
Prakash Nagaraju PMP
John T Napier
Kalyanraman Narayanswamy
PMP
Faig Nasibov PMP
Muhammad Nasir
John T Nelson BSc
Mohammed Taher Netarwala
BE Mech PMP
Edgard Pedreira de Cerqueira
Neto PhD PMP
Michael Newell PMP
Thuthuy C Nguyen PMP
Praveen K Nidumolu PMP
Jeffrey S Nielsen PMP
James S Niziurski PMP
Michael C Nollet MBA PMP
Peter Ntiforo PMP BSc (Hons)
Jeff Nuding PMP
Michael O’Brochta MPM PMP
Deborah O’Bray CIM (Hons)
Edward A O’Connor PMP
Charis Ogbonna
Kazuhiko Okubo PE PMP
James Ostad PMP
Dmitry Ostroushko PhD
Beth Ouellette MBA PMP
Priya Padmanabhan PMP
Nariman Panahian PhD PMP
Mohan Pandey MPharm
PGDM(IIMA)
Tara Pangakis PMP
Leah Paras PMP
Balaji Parasuraman
Kent D Paris PMP
Hyung Ki Park PMP
William J Parkes PMP
Frank R Parth MBA PMP
Jerry L Partridge PMP
George Pasieka aCPP PMP
Marcello Patrese PMP MPM
Mridul Paul PMP MBA
Peter B Paulauskas PMP
Seenivasan Pavanasam
B Tech PMP
Almir dos Santos Pereira PMP
Nancy Perosio PMP
Robert E Perrine PMP
Sitarama Chakravarthy
Peruvel PMP
Bruce T Petro PMP
Daniel Picard PMP
Crispin (Kik) Piney BSc PMP
George Pitagorsky PMP
Rama P Pokala PMP
Morris A Pondfield MBA MS
Roberto Henrique Nogueira Pons
Charles M Poplos EdD PMP
Steven S Popovich
Steven R Potter PMP
Janice Preston PMP
Carl L Pritchard PMP EVP
Carl W Pro PMP
Nathan Pryce EMTM PMP
Javier Pumar PMP
Jan FM Raes PhD PMP
Regina Rahmilov
V Raja PMP
Aditya Rajguru PMP
S Ramani PgMP PMP
Ananthakrishnan
Ramaswami PMP
Claudia Elisa Ramírez PMP
Dave Randell PMP
Gurdev S Randhawa PMP
Shrish Rangaramanujam PMP
Banshidhar Rayaguru PMP
M Tech
Krupakara Reddy PMP PRINCE2
Practitioner
Caroline Robison PMP
Ana I Rodríguez García PMP
Asbjørn Rolstadås PhD Ing
Rafael Fernando Ronces
Rosas PMP
Kenneth H Rose PMP
Prakash Roshan PMP
David W Ross PMP PgMP
Neal L Rowland PMP
Jaideep Roy
Laurie M Rudnitsky PMP
Lee Ryan
Nani SadowskiAlvarez PMP502 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Osamu Sakamoto PMP
Brian Salk MA Ed PMP
Gladstone Leslie Samuel
Paul Sanghera PhD PMP
Satheesh Santhangopalan PMP
Otavio Ritter Santos PMP
Rick B Santos MBA PMP
Vikas Sarin ME(SS)MCA
Ramanathan Sathianaraynan
PMP CSQA
Kyoichi Sato PMP
Curt Schlonies PMP
Eugene Schreiner
John Schuyler PE PMP
Salvatore J Sciascia PMP
Anna Self
Benjamin R Sellers PMP CPCM
Kathakali Seth
Mark B Shadowens PMP
Paul E Shaltry PMP
Archana Sharma MS PMP
Dhilan N Shah CPA PMP
Manar Shami PhD PMP
Shervin Shariatpanahi
Mojtabanejad
Pawan Sharma
Rachna Sharma
John Sheers PMP
Jinmei Shen PMP
Nitin Shende
Eng SM Saliha Sheriff
MBA PMP
Kazuo Shimizu PMP
Toshihiro Shoji PMP
Hilary Shreter MBA PMP
Evandro LP Silva
João Carlos A Silva Neto
Msc PMP
Michael D Simants
Michael Simmering PE
OPM3CC
Nicklaus B Sims PMP
Manas Singh
Siddharth Singh
John Singley PhD PMP
Marzena Zych Skrzypkowska
Kathy J Slater PMP
Martin J Smit PMP
Carolyn E Smith PMP
Bruce F Snow
Juliette A Soczka
Jorge Garcia Solano PMP
John P Soltesz PE PMP
Nguyen Hoanh Son
Brijesh Sonawane PMP
Mauro Sotille PMP
Patricia Spadea PMP
Bernd Spiehl
Carolina Gabriela Spindola
SSBB PMP
Clifford W Sprague PMP
Rob Spurgeon
Varadarajan Sriram
Pranay Srivastava PMP CISA
Jolene R Staruch PMP
Joyce Statz PhD PMP
Doug Stephon
Samuel N Stevens III PhD
Delores Stimpson PMP
Roberta Storer
Dr Kenneth D Strang PhD PMP
Geree V Streun CSQE PMP
Michael E (Mike) Strom PMP
Juergen Sturany PMP
Chinta VN Subrahmanyam
PMP
Brian T Sullivan PMP
Raghavan Sundararajan PMP
Yasuji Suzuki PMP
Rashid M Syed MBA PMP
Michal Szymaczek PMP
Amin Tabatabayi BEng MBA
Shoji Tajima PMP
Masanori Takahashi PMP MA
Paraminder Talwar PMP
Randy Tangco PMP CSM
Nilesh Adrian Pieris Tavarayan
AMBCS MACS (Prov)
John Terdik PMP DCB
Gangesh Thakur CPIM CSCP
Jaimini Thakore
Pham Minh Thang
ClaireJodane Thermidor
William M Thom PMP
Darin Thomas PMP
William J Thompson PE PMP
Rocky Thurston PMP
Linus G Tibayan FLMI PMP
Surendra Tipparaju ME
Lulu V Tobin PMP
Victoria TodasLozada PMP
Mark Tolbert503©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Nagla Toma MA
Carolyn A Toomer PMP
Terry D Tosh PMP
Lee Towe PMP MBA
Biagio Tramontana Ing PMP
R Trant BA C Mar Eng
Ricardo Triana PMP
Daniel J Troxell MBA PMP
ShiJa Tseng
William Stephen Turner
Vidyasagar Uddagiri PMP
Nnanna Charles Ukaegbu
PE PMP
Krishnakant T Upadhyaya PMP
Eric Uyttewaal
MS Business PMP
Ali Vahedi Diz MSc PMP
Jorge Valdés Garciatorres
PMP ITIL
Dennis K Van Gemert MS PMP
Paula Ximena Varas PMP
Ricardo Viana Vargas MSc PMP
Jouko Vaskimo PMP
Thierry Verlynde PMP
Malay Verma PMP PGCBM
Vijay K Verma PMP MBA
Aloysio Vianna Jr
David Violette MPM PMP
Pepijn Visser
Cornelis (Kees) Vonk
Paul E Waits Jr PMP CPM
Mike Wakshull PMP MSc
Ronald P C Waller
PMI Fellow PMP
Barbara Walsh CAPM
Thomas M Walsh PMP
Steve J Walter PhD CSEP PMP
Xiaojin Wang PhD PMP
Lou Ware PMP
William W Wassel PE PMP
Ian J Watson PMP
Michael D Watson PMP
Patrick Weaver PMP FAICD
John A Weber PMP
Kevin R Wegryn PMP CPM
Linda Westfall CSQE PE
John White
Mark Wilfer PMP
Donald Wilkinson PMP
Nancy Wilkinson MBA PMP
Dale K Williams PMP CSM
Terry Williams PhD PMP
John Wilson PhD PMP
Rebecca A Winston JD
Michael Witzorky PMP
Audrey R Wojcik
Nan Wolfslayer AStd
Rick Woods SSBB PMP
Mark A Wright PMP
Vicki Wrona PMP
Andrew Lam Tug Wye PMP
CITPM (Associate)
Kazuo Yamamoto PMP
Shahrzad Yazdani PMP LSS GB
Clement CL Yeung PMP
Masakazu Yonezaki
Tan EE Yuen Yvonne
Azam M Zaqzouq MCT PMP
Omran M Zbeida
Xuyan Zhang
Rob Zilay MBA PMP
K Kimi Hirotsu Ziemski PMP
Paul W Zilmer PMP
William A Zimmer PMP
Heinz Zimmermann MSc PMP
John Zlockie MBA PMP504 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
X2101 Other Contributors
X210 The PMBOK® Guide—Third Edition
Dennis Bolles PMP Project Manager
Darrel G Hubbard PE Deputy Project Manager
J David Blaine PMP (Quality Control Coordinator)
Theodore R Boccuzzi PMP (Document Research Team Leader)
Elden Jones PMP (Configuration Management Coordinator)
Dorothy Kangas PMP (Product Overview Team Leader)
Carol Steuer PMP (Framework Team Leader)
Geree Streun PMP (Process Groups Team Leader)
Lee Towe PMP (Special Appointment)
Abdallah AbiAad PMP PEng
Muhamed Abdomerovic PMP
Adrian Abramovici PMP
Fred Abrams PMP CPL
Yassir Afaneh
Hussain Ali AlAnsari
Eur Ing CEng
Mohammed Abdulla AlKuwari
Eur Ing CEng
Jamie K Allen PMP
Mark Allyn PMP
Sumner Alpert PMP CMC
Frank Anbari
Scott C Anderson PMP
Lionel Andrew MBA ISP
Russell Archibald PMP
Prabu V Ayyagari PhD PMP
William W Bahnmaier PMP
Alfred Baker
Ernest Baker PMP
Pamela M Baker PMP
W Clifton Baldwin PMP
B D Barnes
Kevin E Bast PMP
Jefferson Bastreghi
Mohammed Safi Batley MIM
Julia M Bednar PMP
James S Bennett PMP
Cynthia A Berg PMP
Sally Bernstein PMP
Mamoun A Besaiso CE
Ionut C Bibac
Howland Blackiston
J David Blaine PMP CSQE
Ray Blake PMP
Nigel Blampied PE PMP
Dennis Bolles PMP
Stephen Bonk
Barbara Borgmann PMP
Charles W Bosler Jr
Gregory M Bowen CSDP
Rollin O Bowen Jr
Carolyn Boyles MBA PMP
David Bradford PMP
James (Jim) P Branden
MBA PMP
Wayne R Brantley PMP MS Ed
Gary D Brawley PEng PMP
Alex S Brown PMP
Timothy S Brown
Stephen C Burgan PMP505©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Anne Cagle PMP
Dean J Calabrese PMP
Neil R Caldwell
Giuseppe A Caruso PMP
Edgard P Cerqueira Neto
PhD PMP
Bruce Chadbourne
Bill Chadick PMP
Clare Chan
Porfirio Chen Chang MBA PMP
Ho Lee Cheong PhD MIMechE
Gene Chiappetta PMP
Tomio Chiba PMP
Mark T Chism PMP
Aaron Coffman PMP CQM
Kim D Colenso PMP CSQE
Edmund H Conrow PhD PMP
Helen S Cooke PMP
Michael Corish
John E Cormier PMP
John Cornman PMP MBA
Sergio R Coronado
Andy Crowe PMP
Robert L Cutler PMP
Darren Dalcher PhD MAPM
Mario Damiani PMP
Shari M Daniel PMP
Arindam Das
Pranab Das PMP
Aloysio da Silva
Allan E Dean
Robert de Jong PMP
Juan De La Cruz
M Pilar De La Cruz
Alfredo del Cano PE PhD
Connie Delisle
Andrea Giulio Demaria PMP
John M Dery PMP
Barbara De Vries PMP
Ravi Kumar Dikshit PMP
Jerry Dimos PMP
James A Doanes
Capt Nick Doralp PMP
John Downing
Magnus Karl Drengwitz PMP
Daniel Dudek
Peter Duignan PMP
Lloyd R Duke Jr PMP
Suhas Dutta PMP
Judith Edwards PhD PMP
Bradford R Eichhorn PMP
Gary S Elliott MS MD
Robert L Emerson PMP
Alison Evanish
Gregory William Fabian PMP
Steven L Fahrenkrog PMP
Morten Fangel PhD
Keith Farndale PEng PMP
Martin Christopher Fears PMP
Eve Featherman
AnnaMaria Felici
Flynn M Fernandes MSPM
PMP
John C Buck Field MBA PMP
Linda Fitzgerald
Quentin W Fleming
David Foley MBA
Kirby Fortenberry PMP
Gary W Fortune PMP
John M Foster PMP MBA
Scott D Freauf PMP
Denis Freeland
Ichiro Fujita PMP
John S Galliano
Donald G Gardner PMP
Stanisław Gasik
Jackelen George
Jose A George B Tech PGDM
Dan Georgopulos
Paul H Gil MCP PMP
Greg Githens PMP
Earl Glenwright PE VEA
Leo AGiulianetti PMP
Christopher A Goetz PMP
Donna Golden
Dan Goldfischer
Neil P Goldman PMP
Margarida Goncalves PhD
John C Goodpasture PMP
Dana J Goulston PMP
Neal S Gray PMP
Steve Grey PhD PMP
Robert J Gries PE PMP
Mike Griffiths PMP
Patrick D Guest PMP
Jinendra Gunathilaka PE
Navneet Gupta PMP
David R Haas PMP FLMI
Aaron S Hall PMP
Robert W Harding RA
Delbert K Hardy PMP
Patti Harter506 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
J Ray Harwood PMP
Ali Hassan PMP
Ralph Hernandez
Rick Hiett
Pat Hillcoat PMP
Bob Hillier PMP
David Hillson PhD PMP
Guy N Hindley MAPM MILT
Danny N Hinton PMP
Bobby Tsan Fai Ho PMP CISM
J Brian Hobbs PhD PMP
Piet Holbrouck MSc
Carol Holliday PMP
Gopi V Hombal
Martin Hopkinson BSc APMP
Keith D Hornbacher MBA
Darrel G Hubbard PE
Kenneth Alan Hudacsko PMP
David T Hulett PhD PMP
Clinton in’t Veld
Adesh Jain PMP MPD
Don R James PMP
Grant Jefferson
Noel C Jensen PMP
Wei Jing
Bruce Johnson PMP
Elden Jones MSPM PMP
Granville H Jones Sr
MBA PMP
Kevin B Jones BMath PMP
Howard J Kalinsky PMP MPM
Constance Katsanis
Roger Kent
Tom Kerr PMP
Ajmal Afzal Khan
Asadullah Khan PMP
Lucy Kim PE PMP
Mihail Kitanovski
Jennifer Eileen Kraft
Takahiko Kuki PE PMP
Polisetty VS Kumar
M Tech PMP
Avis Kunz
Thomas Kurihara
Antonio Carlos Laranjo da Silva
John S Layman PMP
Lawrence (Larry) P Leach PMP
Craig Letavec
Ben Linders
Erik D Lindquist PE PMP
Mary K Lofsness
Elizabeth Ann Long PMP
Raul S Lopez PE PMP
Enrique LopezMingueza PMP
Pier Paolo Lo Valvo PMP
Karen Griffin MacNeil PMP
Sajith K Madapatu PMP
Vijaya Kumar Mani PMP
Mark Marlin PMP
Enrique Martinez
Victor J Matheron PMP
Stephen S Mattingly
Christopher J Maughan
CEng PMP
Giuseppe Mauri
Yves Mboda PMP
David L McPeters PMP
Ed Mechler PMP
Godfrey I Meertens PMP
Richard Meertens MBA PMP
Yan Bello Mendez PMP
Gordon R Miller PMP CCP
Liu Min
Santosh Kumar Mishra
PMP CSQA
Andrew H Moore MBA PMP
Colin Morris PE PMP
Saradhi Motamarri M Tech PMP
Mhlabaniseni Moses Mitmunye
Rita Mulcahy PMP
Charles L Munch PMP
KS Keshava Murthy
Jo Musto PMP
AnathaKrishnan
S Nallepally PMP
NB Narayanan
Vijayalakshimi Neela MCA PMP
Beatrice Nelson PMP
Brian D Nelson PMP
Jeffrey S Nielsen PMP
Isabella Nizza PMP
Jim O’Brien PMP
Kazuhiko Okubo PE PMP
David M Olson MBA (ITM)
Peter Ostrom PhD PMP
Jeffery L Ottesen PE
Michael T Ozeranic
Laura Dorival Paglione
Ravindranath Palahalli507©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Glen R Palmer
Jon Palmquist
Nick Palumbo PMP
David Parker
Jerry L Partridge PMP
George Pasieka PMP
Eric Patel
Anil Peer PEng PMP
Francisco PerezPolo
Paul W Phister Jr PhD PE
Crispin (Kik) Piney BSc PMP
Natasha Pollard
Sreenivasa Rao Potti MCA PMP
Manohar Powar PMP
Ravindranath P S
Patrick J Quairoli
Ge Qun
Vara Prasad Raju Kunada
Gurdev Randhawa
Prem Ranganath PMP
Raju Rao PMP
Ulka Rathi
Carol Rauh PhD PMP
Tony Raymond
Vijay Sai Reddy PMP CSQA
J Logan C Rice
Steven Ricks PMP
Steven F Ritter PMP
Thad B Ring PMP
Dee Rizor
Susan Rizzi
Michael C Roach
Alexandre G Rodrigues PhD
Cheryl N Rogers PMP
Asbjorn Rolstadas PhD
Hans (Ron) Ronhovde PMP
Scott A Rose PMP
Ed Rosenstein PMP
David W Ross PMP
Samuel S Roth PMP
Joseph A Roushdi
Gurdev Roy PMP
Paul S Royer PMP
James J Rutushni PMP
Robbi Ryan
Frank Ryle PMP
Anjali Sabharwal PMP
Srinivasa R Sajja PMP
Brian Salk MA Ed PMP
Nashaat A Salman PMP
Kyoichi Sato
Markus Scheibel PMP DiplIng
Suzanne Lee Schmidt PMP
John Schmitt PMP
Amy Schneider PMP
Michael J Schollmeyer PMP
Randa Schollmeyer PMP
Richard E Schwartz
Andrea R Scott
Benjamin R Sellers PMP CPCM
Tufan Sevim PMP
Sanjay Shah PMP
Mundaje S Shetty PMP
Kazuo Shimizu PMP
Rali Shital
Ganga Siebertz
Larry Sieck
Melvin Silverman PhD PE
Fernando Demattio de O
Simoes PMP
Richard L Sinatra PhD PMP
Raghavendra Singh
John E Singley PhD PMP
Edward Smith
Patricia Smith
Cynthia Snyder MBA PMP
Antonio Soares
Paul Solomon PMP
Richard Spector PMP
Allison St Jean
Michael Stefanovic PEng PMP
Geree Streun PMP
Juergen Sturany
Donglin Su
Sambasivam S PMP CSQA
George Sukumar MSChe OE
Karen Z Sullivan PMP
Karen Tate MBA PMP
David E Taylor PMP
James E Teer Jr
Sai K Thallam MBA PMP
John A Thoren Jr PhD PMP
Surendra Tipparaju ME
Massimo Torre PhD PMP
Luis Eduardo Torres Calzada
MBA PMP
Rogerio Carlos Traballi
Lee Towe MBA PMP
Rufis A Turpin CQA CSQE508 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Marion J Tyler PMP
M Raj Ullagaraj PhD
Bobbye Underwood PMP
Eric Uyttewaal PMP
Dalton L ValerianoAlves ME
JR Vanden Eynde PMP
Gary Van Eck
Judy Van Meter
JR Vanden Eynde PMP
Gerrit van Otterdijk BSc
Thomas G Van Scoyoc PMP
Paula X Varas PMP
Ricardo Vargas
Ricardo Viana Vargas MSc PMP
Aloysio Vianna Jr
Mark M Vertin PE PMP
Craig Veteto PMP CPIM
Roberto Viale PMP
Eduardo Newton Vieira PMP
Dave Violette MPM PMP
Desmond Joseph Vize PMP
Cornelius (Kees) Vonk PMP
J Wendell Wagner PMP
Barbara Walsh
Thomas M Walsh PMP
William W Wassel PE PMP
Patrick Weaver PMP FAICD
Kevin R Wegryn PMP CPM
Timothy E Welker PMP
Linda Westfall PE CSQE
Gwen Whitman PMP
Tammo T Wilkens PE PMP
Alan K Williams Sr PMP
Charles M Williamson
MBA PMP
Stephen D Wise
Allan Wong
Robert Wood
Kristin L Wright
Thomas Wuttke PMP CPM
Uma S Yalamanchili PMP
Clement CL Yeung PMP
Angela F Young PMP
John Zachar BSc APMP
Kathy Zandbergen
Cristine Zerpa
Paul Zilmer
Eire E Zimmermann PMP
X211 The PMBOK® Guide—2000 Edition
Cynthia A Berg PMP
Judith A Doll PMP
Daniel Dudek PMP
Quentin Fleming
Greg Githens PMP
Earl Glenwright
David T Hulett PhD
Gregory J Skulmoski509©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Muhamed Abdomerovic PMP
D Eng
John R Adams
Yassir Afaneh
Frank Allen PMP
Jon D Allen PMP
MaryGrace Allenchey PMP
Robert A Andrejko PMP
Ichizo Aoki
Paul C Aspinwall
Ronald Auffrédou PMP
Edward Averill PMP
Frederick L Ayer PMP
William W Bahnmaier PMP
A C Fred Baker PMP
Carole J Bass PMP
George Belev
Berndt Bellman
Sally Bernstein PMP
Nigel Blampied PE PMP
John Blatta
Patrick Brown PMP
Alfredo del Caño
Chris Cartwright PMP
Bruce C Chadbourne PMP
Michael T Clark PMP
Raymond C Clark PE
Elizabeth Clarke
David Coates PMP
Kim Colenso PMP
Edmund H Conrow PMP
Kenneth G Cooper
Sergio Coronado Arrechedera
John Cornman PMP
Richard F Cowan PMP
Kevin Daly PMP
Mario Damiani PMP
Thomas Diethelm PMP
David M Drevinsky PMP
William R Duncan
Frank D Einhorn PMP
Steven L Fahrenkrog
Edward Fern PMP
Lisa Fisher
Christian Frankenberg PMP
Scott D Freauf PMP
JeanLuc Frere PMP
Ichiro Fujita PMP
Chikako Futamura PMP
Serge Garon PEng PMP
Brian L Garrison PMP
Lewis M Gedansky
Linda V Gillman
Eric Glover
Eva T Goldman
Peter Bryan Goldsbury
Michael Goodman PMP
Jean Gouix PMP
Paul Grace
Alexander Grassi Sr PMP
Roger Graves
Franz X Hake
Peter Heffron
Chris Herbert PMP
Dr David Hillson PMP FAPM
J Brian Hobbs PMP
Marion Diane Holbrook
Robin Hornby
David Hotchkiss PMP
Bill Hubbard
Charles L Hunt
Thomas P Hurley PMP
George Jackelen
Angyan P Jagathnarayanan
Sandy Jenkins
Elden F Jones II PMP CMII
Sada Joshi PMP
Lewis Kana PMP
Subramaniam Kandaswamy
PhD PMP
Ronald L Kempf PMP
Robert Dohn Kissinger
PhD PMP
Kurt V Kloecker
Toni D Knott
Jan Kristrom
Blase Kwok PMP
Sam Lane
Lawrence P Leach
Philip A Lindeman
X2111 Other Contributors510 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Gábor Lipi
Lyle W Lockwood PMP
J W Lowthian PMP
Arif Mahmood PMP
James Martin (on behalf
of INCOSE)
Stephen S Mattingly
Glen Maxfield
Peter McCarthy
Rob McCormack PMP
John McHugh
Krik D McManus
Dewey L Messer
David Michaud
Mary F Miekoski PMP
Oscar A Mignone
Gordon R Miller PMP
Roy E Morgan PMP
Jim Morris PMP
Bert Mosterd PMP
William A Moylan PMP
John D Nelson PMP
Wolfgang Obermeier
Cathy Oest PMP
Masato Ohori PMP
Kazuhiko Okubo PE PMP
Edward Oliver
Michelle Triggs Owen
Mark S Parker
Shirley B Parker
Matthew H Parry
Jerry Partridge PMP
Francisco PerezPolo PMP
James M Phillips PMP
Crispin (Kik) Piney PMP
George Pitagorsky PMP
David L Prater PMP
Janice Preston
Bradford S Price PMP
Samuel L Raisch PMP
Naga Rajan
G Ramachandran PMP
Stephen Reed
Bill Righter PMP
Bernice L Rocque PMP
Wolfgang Theodore Roesch
Fernando Romero Peñailillo
Jon Rude
Linda Rust PMP
Fabian Sagristani PMP
James N Salapatas PMP
Seymour Samuels
Bradford N Scales
H Peter Schiller
John R Schuyler PMP
Maria Scott PMP
Shoukat Sheikh MBA PMP
Larry Sieck
Kazuo Shimizu PMP
David Shuster
Melvin Silverman PhD PE
Loren J Simer Jr
Keith Skilling PE PMP
Ed Smith
Kenneth F Smith PMP
Barry Smythe PMP
Paul J Solomon
Joe Soto Sr PMP
Christopher Wessley Sours PMP
Charlene Spoede PMP
Joyce Statz PMP
Emmett Stine PMP
Alan Stretton
Thangavel Subbu
Jim Szpakowski
Ahmet N Taspinar PMP
John A Thoren Jr PMP
Iesha D TurnerBrown
Alan D Uren PMP
Juan Luis Valero PMP
S Rao Vallabhaneni
William Simon Vaughan
Robinson
Ana Isabel Vazquez Urbina
Ricardo Viana Vargas PMP
Mike Wakshull
Stephen E Wall PMP
William W Wassel PMP
R Max Wideman
Tammo T Wilkens PE PMP
Robert Williford PMP
Robert Youker511©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
X212 The PMBOK® Guide—1996 Edition
William R Duncan
Frederick Ayer
Cynthia Berg
Mark Burgess
Helen Cooke
Judy Doll
Drew Fetters
Brian Fletcher
Earl Glenwright
Eric Jenett
Deborah O’Bray
Diane Quinn
Anthony Rizzotto
Alan Stretton
Douglas E Tryloff
X2121 Other Contributors
John Adams
Edward L Averill
C Fred Baker
F J Bud Baker
Tom Belanger
John A Bing
Brian Bock
Paul Bosakowski
Keely Brunner
Dorothy J Burton
Jeannette M Cabanis
Louis J Cabano
Kim Colenso
Samuel K Collier
Karen CondosAlfonsi
E J Coyle
Darlene Crane
David Curling
Russ Darnall
Misty N Dillard
Maureen Dougherty
John J Downing
Daniel D Dudek
Lawrence East
Quentin W Fleming
Rick Fletcher
Linda V Gillman
Greg Githens
Douglas Gordon
Leo Giulianeti512 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Martha D Hammonds
Abdulrazak Hajibrahim
G Alan Hellawell
Bobby R Hensley
Jonathan Hicks
Paul Hinkley
Wayne L Hinthorn
Mark E Hodson
David T Hulett
Edward Ionata
Lew Ireland
Elvin Isgrig
Murray Janzen
Frank Jenes
Sandy Jenkins
Walter Karpowski
William F Kerrigan
Harold Kerzner
Robert L Kimmons
Richard King
J D Kaay Koch
Lauri Koskela
Richard E Little
Lyle W Lockwood
Lawrence Mack
Christopher Madigan
Michael L McCauley
Hugh McLaughlin
Frank McNeely
Pierre Menard
Dewey L Messer
Rick Michaels
Raymond Miller
Alan Minson
Colin Morris
R Bruce Morris
Danell Moses
David J Mueller
Gary Nelson
John M Nevison
John P Nolan
Louise C Novakowski
James O’Brien
JoAnn C Osmer
Jon V Palmquist
Mark S Parker
Shirley B Parker
Matthew Parry
John G Phippen
Hans E Picard
Melissa Pendergast
James S Pennypacker
Serge Y Piotte
PMI Houston Chapter
PMI Manitoba Chapter
PMI New Zealand Chapter
Charles J Pospisil
Janice Y Preston
Mark T Price
Christopher Quaife
Peter E Quinn
Hadley Reynolds
Steven F Ritter
William S Ruggles
Ralph B Sackman
Agnes Salvo
Alice Sapienza
W Stephen Sawle
Darryl M Selleck
Melvin Silverman
Roy Smith
Leonard Stolba
Craig T Stone
Hiroshi Tanaka
Ahmet Taspinar
Robert Templeton
Dick Thiel
Saul Thomashow
J Tidhar
Janet Toepfer
Michelle Triggs
Vijay K Verma
Alex Walton
Jack Way
Francis M Webster Jr
R Max Wideman
Rebecca Winston
Hugh M Woodward
Lisa Woodring
Robert Youker
Shakir H Zuberi
Dirk Zwart513©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X3 INTERPERSONAL SKILLS
APPENDIX X3
INTERPERSONAL SKILLS
Project managers accomplish work through the project team and other stakeholders Effective project managers
acquire a balance of technical interpersonal and conceptual skills that help them analyze situations and interact
appropriately This appendix describes important interpersonal skills such as
• Leadership
• Team building
• Motivation
• Communication
• Influencing
• Decision making
• Political and cultural awareness
• Negotiation
• Trust building
• Conflict management
• Coaching
While there are additional interpersonal skills that project managers use the appropriate use of these skills
assists the project manager in effectively managing the project
X31 Leadership
Leadership involves focusing the efforts of a group of people toward a common goal and enabling them to
work as a team In general terms leadership is the ability to get things done through others Respect and trust
rather than fear and submission are the key elements of effective leadership Although important throughout all
project phases effective leadership is critical during the beginning phases of a project when the emphasis is on
communicating the vision and motivating and inspiring project participants to achieve high performance514 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X3 INTERPERSONAL SKILLS
Throughout the project the project team leaders are responsible for establishing and maintaining the vision
strategy and communications fostering trust and team building influencing mentoring and monitoring and
evaluating the performance of the team and the project
X32 Team Building
Team building is the process of helping a group of individuals bound by a common purpose to work with each
other the leader external stakeholders and the organization The result of good leadership and good team building
is teamwork
Teambuilding activities consist of tasks (establish goals define and negotiate roles responsibilities and
procedures) and processes (interpersonal behavior with emphasis on communication conflict management
motivation and leadership) Developing a team environment involves handling project team problems and
discussing these as team issues without placing blame on individuals Team building can be further enhanced by
obtaining top management support encouraging team member commitment introducing appropriate rewards
recognition and ethics creating a team identity managing conflicts effectively promoting trust and open
communication among team members and providing leadership
While team building is essential during the front end of a project it is an ongoing process Changes in a project
environment are inevitable To manage these changes effectively a continued or renewed teambuilding effort is
required Outcomes of team building include mutual trust high quality of information exchange better decision
making and effective project management
X33 Motivation
Project teams are comprised of team members with diverse backgrounds expectations and individual objectives
The overall success of the project depends upon the project team’s commitment which is directly related to their
level of motivation
Motivating in a project environment involves creating an environment to meet project objectives while providing
maximum satisfaction related to what people value most These values may include job satisfaction challenging
work a sense of accomplishment achievement and growth sufficient financial compensation and other rewards
and recognition the individual considers necessary and important515©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X3 INTERPERSONAL SKILLS
X34 Communication
Communication has been identified as one of the single biggest reasons for project success or failure Effective
communication within the project team and between the project manager team members and all external
stakeholders is essential Openness in communication is a gateway to teamwork and high performance It improves
relationships among project team members and creates mutual trust
To communicate effectively the project manager should be aware of the communication styles of other parties
cultural nuancesnorms relationships personalities and the overall context of the situation Awareness of these
factors leads to mutual understanding and thus to effective communication Project managers should identify
various communication channels understand what information they need to provide what information they need
to receive and which interpersonal skills will help them communicate effectively with various project stakeholders
Carrying out teambuilding activities to determine team member communications styles (eg directive collaborative
logical explorer etc) allows managers to plan their communications with appropriate sensitivity to relationships
and cultural differences
Listening is an important part of communication Listening techniques both active and passive give the user
insight to problem areas negotiation and conflict management strategies decision making and problem resolution
X35 Influencing
Influencing is a strategy of sharing power and relying on interpersonal skills to get others to cooperate towards
common goals Using the following guidelines can influence team members
• Lead by example and follow through with commitments
• Clarify how a decision will be made
• Use a flexible interpersonal style and adjust the style to the audience
Apply your power skillfully and cautiously Think of longterm collaboration516 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X3 INTERPERSONAL SKILLS
X36 Decision Making
There are four basic decision styles normally used by project managers command consultation consensus
and coin flip (random) There are four major factors that affect the decision style time constraints trust quality
and acceptance Project managers may make decisions individually or they may involve the project team in the
decisionmaking process
Project managers and project teams use a decisionmaking model or process such as the sixphase model
shown below
• Problem Definition Fully explore clarify and define the problem
• Problem Solution Generation Prolong the new ideagenerating process by brainstorming multiple
solutions and discouraging premature decisions
• Ideas to Action Define evaluation criteria rate pros and cons of alternatives select best solution
• Solution Action Planning Involve key participants to gain acceptance and commitment to making the
solution work
• Solution Evaluation Planning Perform postimplementation analysis evaluation and lessons learned
• Evaluation of the Outcome and Process Evaluate how well the problem was solved or project goals
were achieved (extension of previous phase)
X37 Political and Cultural Awareness
Organizational politics are inevitable in project environments due to the diversity in norms backgrounds and
expectations of the people involved with a project The skillful use of politics and power helps the project manager
to be successful Conversely ignoring or avoiding project politics and inappropriate use of power can lead to
difficulty in managing projects
Today project managers operate in a global environment and many projects exist in an environment of cultural
diversity By understanding and capitalizing on cultural differences the project management team is more likely
to create an environment of mutual trust and a winwin atmosphere Cultural differences can be both individual
and corporate in nature and may involve both internal and external stakeholders An effective way to manage
this cultural diversity is through getting to know the various team members and the use of good communication
planning as part of the overall project plan517©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X3 INTERPERSONAL SKILLS
Culture at a behavioral level includes those behaviors and expectations that occur independently of geography
ethnic heritage or common and disparate languages Culture can impact the speed of working the decision
making process and the impulse to act without appropriate planning This may lead to conflict and stress in some
organizations thereby affecting the performance of project managers and project teams
X38 Negotiation
Negotiation is a strategy of conferring with parties of shared or opposed interests with a view toward compromise
or reaching an agreement Negotiation is an integral part of project management and done well increases the
probability of project success
The following skills and behaviors are useful in negotiating successfully
• Analyze the situation
• Differentiate between wants and needs both theirs and yours
• Focus on interests and issues rather than on positions
• Ask high and offer low but be realistic
• When you make a concession act as if you are yielding something of value don’t just give in
• Both parties should feel as if they have won This winwin negotiating style is preferred but not
always achievable If possible don’t let the other party leave feeling as though he or she has been taken
advantage of
• Listen attentively and communicate articulately
X39 Trust Building
The ability to build trust across the project team and other key stakeholders is a critical component in effective
team leadership Trust is associated with cooperation information sharing and effective problem resolution Without
trust it is difficult to establish the positive relationships necessary between the various stakeholders engaged in the
project When trust is compromised relationships deteriorate people disengage and collaboration becomes more
difficult if not impossible
Some actions project managers can take to help build trust518 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X3 INTERPERSONAL SKILLS
• Engage in open and direct communications to resolve problems
• Keep all stakeholders informed especially when fulfilling commitments is at risk
• Spend time directly engaged with the team asking nonassumptive questions to gain a better understanding
of the situations affecting the team
• Be direct and explicit about what you need or expect
• Do not withhold information out of a fear of being wrong but be willing to share information even if you
may be wrong
• Be receptive to innovation and address any issues or concerns in a forthright manner
• Look beyond your own interests
• Demonstrate a true concern for others and avoid engaging in pursuits that could be viewed as being
detrimental to the interest of others
X310 Conflict Management
Conflict is inevitable in a project environment Incongruent requirements competition for resources breakdowns
in communications and many other factors could become sources of conflict Within a project’s environment
conflict may yield dysfunctional outcomes However if actively managed conflicts can actually help the team arrive
at a better solution The project manager must be able to identify the causes for conflict and then actively manage
the conflict thus minimizing potential negative impacts The project team is then able to deliver better solutions and
increase the probability of project success
Project managers must develop the skills and experience necessary to effectively adapt their personal conflict
management style to the situation Managing conflict in a project environment involves building the trust necessary
for all involved parties to be open and honest and to engage in seeking a positive resolution to the situation creating
the conflict Project managers strive to establish a collaborative approach among the team members involved in
order to fully resolve the problems In situations where a collaborative approach is not possible the project manager
must then revert to other active management styles for handling the conflict eg assertiveness accommodation
avoidance or compromise
Managing conflict is one of the biggest challenges a project manager faces It draws upon all of the other
interpersonal skills of a project manager in order to lead the team to a successful resolution of the situation in
conflict519©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X3 INTERPERSONAL SKILLS
X311 Coaching
Coaching is a means of developing the project team to higher levels of competency and performance Coaching
is about helping people recognize their potential through empowerment and development Coaching is used to aid
team members in developing or enhancing their skills or to build new skills required to enable project success
Coaching can take many forms and approaches In some instances formal or informal training may be developed
to increase technical skills or assist teambuilding efforts and facilitate consistent interpersonal interactions
Coaching is also used to address poor performance and to help team members overcome deficiencies in their
skill sets Coaching is distinct from counseling Counseling focuses on addressing situations where team members
won’t do something rather than can’t do If the situation is one where the team member is not performing or
meeting expectations due to a lack of skill knowledge or experience coaching can be employed to help the team
member to develop this skill and thus turn a can’t do situation into one of can do
Coaching can be a powerful motivator for teams As teams develop their skills abilities and confidence their
willingness to take on challenging or demanding tasks is increased This can lead to more effective and productive
teams
X312 References
Covey S R Seven Habits of Highly Effective People A Fireside Book Simon and Schuster New York NY
Dinsmore PC Human Factors in Project Management (Revised Edition) American Management Association
New York NY
Levin G and Flannes S Essential People Skills for Project Managers Management Concepts Inc Vienna VA
Verma V K Organizing Projects for Success PMI Newtown Square PA
Verma V K Human Resource Skills for the Project Manager PMI Newtown Square PA
Verma V K Managing the Project Team PMI Newtown Square PA521©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
REFERENCES
REFERENCES
[1] Project Management Institute 2012 PMI Lexicon of Project Management Terms Available from
httpwwwpmiorglexiconterms
[2] Project Management Institute PMI Code of Ethics and Professional Conduct Available from
httpwwwpmiorgcodeofethicsPDF
[3] Project Management Institute 2013 The Standard for Program Management – Third Edition Newtown
Square PA PMI
[4] Project Management Institute 2013 The Standard for Portfolio Management – Third Edition Newtown
Square PA PMI
[5] Project Management Institute 2013 Organizational Project Management Maturity Model (OPM3®) –
Third Edition Newtown Square PA PMI
[6] International Standards Organization 2008 ISOIEC 152882008 Systems and Software Engineering –
System Life Cycle Processes Geneva Switzerland ISO
[7] Project Management Institute 2006 Practice Standard for Work Breakdown Structures (WBS) –
Second Edition (Reaffirmed) Newtown Square PA PMI
[8] Project Management Institute 2011 Practice Standard for Scheduling – Second Edition Newtown Square
PA PMI
[9] Project Management Institute 2011 Practice Standard for Earned Value Management – Second Edition
Newtown Square PA PMI
[10] International Standards Organization 2008 ISO 90002008 Quality Management Systems – Fundamentals
and Vocabulary Geneva Switzerland ISO
[11] International Standards Organization 2004 ISOIEC 22004 Standardization and Related Activities– General
Vocabulary Geneva Switzerland ISO
[12] International Standards Organization 2012 ISO 215002012 Guidance on Project Management Geneva
Switzerland ISO523©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Glossary
1 Inclusions and Exclusions
This glossary includes terms that are
• Unique or nearly unique to project management (eg project scope statement work package work
breakdown structure critical path method)
• Not unique to project management but used differently or with a narrower meaning in project management
than in general everyday usage (eg early start date)
This glossary generally does not include
• Application areaspecific terms
• Terms used in project management which do not differ in any material way from everyday use
(eg calendar day delay)
• Compound terms whose meaning is clear from the combined meanings of the component parts
• Variants when the meaning of the variant is clear from the base term
As a result of the above inclusions and exclusions this glossary includes
• A preponderance of terms related to Project Scope Management Project Time Management and Project
Risk Management since many of the terms used in these Knowledge Areas are unique or nearly unique
to project management
• Many terms from Project Quality Management since these terms are used more narrowly than in their
everyday usage
• Relatively few terms related to Project Human Resource Management Project Communications
Management and Project Stakeholder Management since most of the terms used in these Knowledge
Areas do not differ significantly from everyday usage
• Relatively few terms related to Project Cost Management Project Integration Management and Project
Procurement Management since many of the terms used in these Knowledge Areas have narrow
meanings that are unique to a particular application area524 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
2 common Acronyms
AC actual cost
ACWP actual cost of work performed
BAC budget at completion
CCB change control board
COQ cost of quality
CPAF cost plus award fee
CPFF cost plus fixed fee
CPI cost performance index
CPIF cost plus incentive fee
CPM critical path methodology
CV cost variance
EAC estimate at completion
EF early finish date
EMV expected monetary value
ES early start date
ETC estimate to complete
EV earned value
EVM earned value management
FF finishtofinish
FFP firm fixed price contract
FMEA failure mode and effect analysis
FPEPA fixed price with economic price adjustment
FPIF fixed price incentive fee
FS finish to start525©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
IFB invitation for bid
LF late finish date
LOE level of effort
LS late start date
OBS organizational breakdown structure
PDM precedence diagramming method
PMBOK Project Management Body of Knowledge
PV planned value
QFD quality function deployment
RACI responsible accountable consult and inform
RAM responsibility assignment matrix
RBS risk breakdown structure
RFI request for information
RFP request for proposal
RFQ request for quotation
SF starttofinish
SOW statement of work
SPI schedule performance index
SS starttostart
SV schedule variance
SWOT strengths weaknesses opportunities and threats
T&M time and material contract
WBS work breakdown structure526 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
3 Definitions
Many of the words defined here have broader and in some cases different dictionary definitions
The definitions use the following conventions
• In some cases a single glossary term consists of multiple words (eg risk urgency assessment)
• When synonyms are included no definition is given and the reader is directed to the preferred term (ie
see preferred term)
• Related terms that are not synonyms are crossreferenced at the end of the definition (ie see also
related term)
Acceptance Criteria A set of conditions that is required to be met before deliverables are accepted
Accepted Deliverables Products results or capabilities produced by a project and validated by the project
customer or sponsors as meeting their specified acceptance criteria
Accuracy Within the quality management system accuracy is an assessment of correctness
Acquire Project Team The process of confirming human resource availability and obtaining the team necessary
to complete project activities
Acquisition Obtaining human and material resources necessary to perform project activities Acquisition implies
a cost of resources and is not necessarily financial
Activity A distinct scheduled portion of work performed during the course of a project
Activity Attributes Multiple attributes associated with each schedule activity that can be included within the activity
list Activity attributes include activity codes predecessor activities successor activities logical relationships leads
and lags resource requirements imposed dates constraints and assumptions
Activity Code One or more numerical or text values that identify characteristics of the work or in some way
categorize the schedule activity that allows filtering and ordering of activities within reports
Activity Cost Estimates The projected cost of the schedule activity that includes the cost for all resources required
to perform and complete the activity including all cost types and cost components
Activity Duration The time in calendar units between the start and finish of a schedule activity See also duration527©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Activity Duration Estimate A quantitative assessment of the likely amount or outcome for the duration of an
activity
Activity Identifier A short unique numeric or text identification assigned to each schedule activity to differentiate
that project activity from other activities Typically unique within any one project schedule network diagram
Activity List A documented tabulation of schedule activities that shows the activity description activity identifier
and a sufficiently detailed scope of work description so project team members understand what work is to be
performed
Activity Network Diagrams See project schedule network diagram
ActivityonNode (AON) See precedence diagramming method (PDM)
Activity Resource Requirements The types and quantities of resources required for each activity in a work
package
Actual Cost (AC) The realized cost incurred for the work performed on an activity during a specific time period
Actual Duration The time in calendar units between the actual start date of the schedule activity and either the
data date of the project schedule if the schedule activity is in progress or the actual finish date if the schedule
activity is complete
Adaptive Life Cycle A project life cycle also known as changedriven or agile methods that is intended to
facilitate change and require a high degree of ongoing stakeholder involvement Adaptive life cycles are also
iterative and incremental but differ in that iterations are very rapid (usually 2–4 weeks in length) and are fixed in
time and resources
Additional Quality Planning Tools A set of tools used to define the quality requirements and to plan effective
quality management activities They include but are not limited to brainstorming force field analysis nominal
group techniques and quality management and control tools
Adjusting Leads and Lags A technique used to find ways to bring project activities that are behind into alignment
with plan during project execution
Advertising The process of calling public attention to a project or effort528 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Affinity Diagram A group creativity technique that allows large numbers of ideas to be classified into groups for
review and analysis
Agreements Any document or communication that defines the initial intentions of a project This can take the
form of a contract memorandum of understanding (MOU) letters of agreement verbal agreements email etc
Alternative Analysis A technique used to evaluate identified options in order to select which options or
approaches to use to execute and perform the work of the project
Alternatives Generation A technique used to develop as many potential options as possible in order to identify
different approaches to execute and perform the work of the project
Analogous Estimating A technique for estimating the duration or cost of an activity or a project using historical
data from a similar activity or project
Analytical Techniques Various techniques used to evaluate analyze or forecast potential outcomes based on
possible variations of project or environmental variables and their relationships with other variables
Application Area A category of projects that have common components significant in such projects
but are not needed or present in all projects Application areas are usually defined in terms of either the
product (ie by similar technologies or production methods) or the type of customer (ie internal versus
external government versus commercial) or industry sector (ie utilities automotive aerospace information
technologies etc) Application areas can overlap
Applying Leads and Lags A technique that is used to adjust the amount of time between predecessor and
successor activities
Apportioned Effort An activity where effort is allotted proportionately across certain discrete efforts and not
divisible into discrete efforts [Note Apportioned effort is one of three earned value management (EVM) types of
activities used to measure work performance]
Approved Change Request A change request that has been processed through the integrated change control
process and approved
Approved Change Requests Review A review of the change requests to verify that these were implemented as
approved529©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Assumption A factor in the planning process that is considered to be true real or certain without proof or
demonstration
Assumptions Analysis A technique that explores the accuracy of assumptions and identifies risks to the project
from inaccuracy inconsistency or incompleteness of assumptions
Attribute Sampling Method of measuring quality that consists of noting the presence (or absence) of some
characteristic (attribute) in each of the units under consideration After each unit is inspected the decision is made
to accept a lot reject it or inspect another unit
Authority The right to apply project resources expend funds make decisions or give approvals
Backlog A listing of product requirements and deliverables to be completed written as stories and prioritized
by the business to manage and organize the project’s work
Backward Pass A critical path method technique for calculating the late start and late finish dates by working
backward through the schedule model from the project end date
Bar Chart A graphic display of schedulerelated information In the typical bar chart schedule activities or work
breakdown structure components are listed down the left side of the chart dates are shown across the top and
activity durations are shown as dateplaced horizontal bars See also Gantt chart
Baseline The approved version of a work product that can be changed only through formal change control
procedures and is used as a basis for comparison
Basis of Estimates Supporting documentation outlining the details used in establishing project estimates such as
assumptions constraints level of detail ranges and confidence levels
Benchmarking Benchmarking is the comparison of actual or planned practices such as processes and operations
to those of comparable organizations to identify best practices generate ideas for improvement and provide a
basis for measuring performance
Bidder Conference The meetings with prospective sellers prior to the preparation of a bid or proposal to ensure
all prospective vendors have a clear and common understanding of the procurement Also known as contractor
conferences vendor conferences or prebid conferences530 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
BottomUp Estimating A method of estimating project duration or cost by aggregating the estimates of the
lowerlevel components of the work breakdown structure (WBS)
Brainstorming A general data gathering and creativity technique that can be used to identify risks ideas or
solutions to issues by using a group of team members or subject matter experts
Budget The approved estimate for the project or any work breakdown structure component or any schedule
activity
Budget at Completion (BAC) The sum of all budgets established for the work to be performed
Buffer See reserve
Business Case A documented economic feasibility study used to establish validity of the benefits of a selected
component lacking sufficient definition and that is used as a basis for the authorization of further project management
activities
Business Value A concept that is unique to each organization and includes tangible and intangible elements
Through the effective use of project program and portfolio management disciplines organizations will possess the
ability to employ reliable established processes to meet enterprise objectives and obtain greater business value
from their investments
Buyer The acquirer of products services or results for an organization
Cause and Effect Diagram A decomposition technique that helps trace an undesirable effect back to its root
cause
Central Tendency A property of the central limit theorem predicting that the data observations in a distribution
will tend to group around a central location The three typical measures of central tendency are the mean median
and mode
Change Control A process whereby modifications to documents deliverables or baselines associated with the
project are identified documented approved or rejected
Change Control Board (CCB) A formally chartered group responsible for reviewing evaluating approving
delaying or rejecting changes to the project and for recording and communicating such decisions531©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Change Control System A set of procedures that describes how modifications to the project deliverables and
documentation are managed and controlled
Change Control Tools Manual or automated tools to assist with change andor configuration management At a
minimum the tools should support the activities of the CCB
Change Log A comprehensive list of changes made during the project This typically includes dates of the change
and impacts in terms of time cost and risk
Change Request A formal proposal to modify any document deliverable or baseline
Charter See project charter
Checklist Analysis A technique for systematically reviewing materials using a list for accuracy and completeness
Checksheets A tally sheet that can be used as a checklist when gathering data
Claim A request demand or assertion of rights by a seller against a buyer or vice versa for consideration
compensation or payment under the terms of a legally binding contract such as for a disputed change
Claims Administration The process of processing adjudicating and communicating contract claims
Close Procurements The process of completing each project procurement
Close Project or Phase The process of finalizing all activities across all of the Project Management Process
Groups to formally complete a project or phase
Closed Procurements Project contracts or other procurement agreements that have been formally acknowledged
by the proper authorizing agent as being finalized and signed off
Closing Process Group Those processes performed to finalize all activities across all Process Groups to formally
close a project or phase
Code of Accounts A numbering system used to uniquely identify each component of the work breakdown
structure (WBS)
Collect Requirements The process of determining documenting and managing stakeholder needs and
requirements to meet project objectives532 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Colocation An organizational placement strategy where the project team members are physically located
close to one another in order to improve communication working relationships and productivity
Communication Constraints Restrictions on the content timing audience or individual who will deliver a
communication usually stemming from specific legislation or regulation technology or organizational policies
Communication Methods A systematic procedure technique or process used to transfer information among
project stakeholders
Communication Models A description analogy or schematic used to represent how the communication
process will be performed for the project
Communication Requirements Analysis An analytical technique to determine the information needs of the
project stakeholders through interviews workshops study of lessons learned from previous projects etc
Communication Technology Specific tools systems computer programs etc used to transfer information
among project stakeholders
Communications Management Plan A component of the project program or portfolio management plan that
describes how when and by whom information about the project will be administered and disseminated
Compliance A general concept of conforming to a rule standard law or requirement such that the assessment of
compliance results in a binomial result stated as compliant or noncompliant
Conduct Procurements The process of obtaining seller responses selecting a seller and awarding a contract
Configuration Management System A subsystem of the overall project management system It is a collection
of formal documented procedures used to apply technical and administrative direction and surveillance to
identify and document the functional and physical characteristics of a product result service or component
control any changes to such characteristics record and report each change and its implementation status and
support the audit of the products results or components to verify conformance to requirements It includes the
documentation tracking systems and defined approval levels necessary for authorizing and controlling changes
Conflict Management Handling controlling and guiding a conflictual situation to achieve a resolution
Conformance Within the quality management system conformance is a general concept of delivering results that
fall within the limits that define acceptable variation for a quality requirement533©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Conformance Work In the cost of quality framework conformance work is done to compensate for imperfections
that prevent organizations from completing planned activities correctly as essential firsttime work Conformance
work consists of actions that are related to prevention and inspection
Constraint A limiting factor that affects the execution of a project program portfolio or process
Context Diagrams A visual depiction of the product scope showing a business system (process equipment
computer system etc) and how people and other systems (actors) interact with it
Contingency An event or occurrence that could affect the execution of the project that may be accounted for
with a reserve
Contingency Allowance See reserve
Contingency Reserve Budget within the cost baseline or performance measurement baseline that is allocated for
identified risks that are accepted and for which contingent or mitigating responses are developed
Contingent Response Strategies Responses provided which may be used in the event that a specific trigger
occurs
Contract A contract is a mutually binding agreement that obligates the seller to provide the specified product
or service or result and obligates the buyer to pay for it
Contract Change Control System The system used to collect track adjudicate and communicate changes to a
contract
Control Comparing actual performance with planned performance analyzing variances assessing trends to
effect process improvements evaluating possible alternatives and recommending appropriate corrective action
as needed
Control Account A management control point where scope budget actual cost and schedule are integrated and
compared to earned value for performance measurement
Control Chart A graphic display of process data over time and against established control limits which has a
centerline that assists in detecting a trend of plotted values toward either control limit
Control Communications The process of monitoring and controlling communications throughout the entire project
life cycle to ensure the information needs of the project stakeholders are met534 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Control Costs The process of monitoring the status of the project to update the project costs and managing
changes to the cost baseline
Control Limits The area composed of three standard deviations on either side of the centerline or mean of a
normal distribution of data plotted on a control chart which reflects the expected variation in the data See also
specification limits
Control Procurements The process of managing procurement relationships monitoring contract performance
and making changes and corrections as appropriate
Control Quality The process of monitoring and recording results of executing the quality activities to assess
performance and recommend necessary changes
Control Risks The process of implementing risk response plans tracking identified risks monitoring residual
risks identifying new risks and evaluating risk process effectiveness throughout the project
Control Schedule The process of monitoring the status of project activities to update project progress and manage
changes to the schedule baseline to achieve the plan
Control Scope The process of monitoring the status of the project and product scope and managing changes to
the scope baseline
Control Stakeholder Engagement The process of monitoring overall project stakeholder relationships and
adjusting strategies and plans for engaging stakeholders
Corrective Action An intentional activity that realigns the performance of the project work with the project
management plan
Cost Aggregation Summing the lowerlevel cost estimates associated with the various work packages for a
given level within the project’s WBS or for a given cost control account
Cost Baseline The approved version of the timephased project budget excluding any management reserves
which can be changed only through formal change control procedures and is used as a basis for comparison to
actual results
Cost Management Plan A component of a project or program management plan that describes how costs will
be planned structured and controlled535©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Cost of Quality A method of determining the costs incurred to ensure quality Prevention and appraisal costs
(cost of conformance) include costs for quality planning quality control (QC) and quality assurance to ensure
compliance to requirements (ie training QC systems etc) Failure costs (cost of nonconformance) include costs
to rework products components or processes that are noncompliant costs of warranty work and waste and loss
of reputation
Cost Performance Index (CPI) A measure of the cost efficiency of budgeted resources expressed as the ratio of
earned value to actual cost
Cost Plus Award Fee Contracts (CPAF) A category of contract that involves payments to the seller for all legitimate
actual costs incurred for completed work plus an award fee representing seller profit
Cost Plus Fixed Fee Contract (CPFF) A type of costreimbursable contract where the buyer reimburses the seller
for the seller’s allowable costs (allowable costs are defined by the contract) plus a fixed amount of profit (fee)
Cost Plus Incentive Fee Contract (CPIF) A type of costreimbursable contract where the buyer reimburses the
seller for the seller’s allowable costs (allowable costs are defined by the contract) and the seller earns its profit if
it meets defined performance criteria
Cost Variance (CV) The amount of budget deficit or surplus at a given point in time expressed as the difference
between the earned value and the actual cost
CostBenefit Analysis A financial analysis tool used to determine the benefits provided by a project against its
costs
CostReimbursable Contract A type of contract involving payment to the seller for the seller’s actual costs plus
a fee typically representing seller’s profit Costreimbursable contracts often include incentive clauses where if the
seller meets or exceeds selected project objectives such as schedule targets or total cost then the seller receives
from the buyer an incentive or bonus payment
Crashing A technique used to shorten the schedule duration for the least incremental cost by adding
resources
Create WBS The process of subdividing project deliverables and project work into smaller more manageable
components536 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Criteria Standards rules or tests on which a judgment or decision can be based or by which a product service
result or process can be evaluated
Critical Chain Method A schedule method that allows the project team to place buffers on any project schedule
path to account for limited resources and project uncertainties
Critical Path The sequence of activities that represents the longest path through a project which determines the
shortest possible duration
Critical Path Activity Any activity on the critical path in a project schedule
Critical Path Method A method used to estimate the minimum project duration and determine the amount of
scheduling flexibility on the logical network paths within the schedule model
Customer Customer is the person(s) or organization(s) that will pay for the project’s product service or result
Customers can be internal or external to the performing organization
Customer Satisfaction Within the quality management system a state of fulfillment in which the needs of a
customer are met or exceeded for the customer’s expected experiences as assessed by the customer at the
moment of evaluation
Data Date A point in time when the status of the project is recorded
Data Gathering and Representation Techniques Techniques used to collect organize and present data and
information
Decision Tree Analysis A diagramming and calculation technique for evaluating the implications of a chain of
multiple options in the presence of uncertainty
Decomposition A technique used for dividing and subdividing the project scope and project deliverables into
smaller more manageable parts
Defect An imperfection or deficiency in a project component where that component does not meet its
requirements or specifications and needs to be either repaired or replaced
Defect Repair An intentional activity to modify a nonconforming product or product component
Define Activities The process of identifying and documenting the specific actions to be performed to produce the
project deliverables537©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Define Scope The process of developing a detailed description of the project and product
Deliverable Any unique and verifiable product result or capability to perform a service that is required to be
produced to complete a process phase or project
Delphi Technique An information gathering technique used as a way to reach a consensus of experts on a
subject Experts on the subject participate in this technique anonymously A facilitator uses a questionnaire to
solicit ideas about the important project points related to the subject The responses are summarized and are
then recirculated to the experts for further comment Consensus may be reached in a few rounds of this process
The Delphi technique helps reduce bias in the data and keeps any one person from having undue influence on
the outcome
Dependency See logical relationship
Dependency Determination A technique used to identify the type of dependency that is used to create the logical
relationships between predecessor and successor activities
Design of Experiments A statistical method for identifying which factors may influence specific variables of a
product or process under development or in production
Determine Budget The process of aggregating the estimated costs of individual activities or work packages to
establish an authorized cost baseline
Develop Project Charter The process of developing a document that formally authorizes the existence of a project
and provides the project manager with the authority to apply organizational resources to project activities
Develop Project Management Plan The process of defining preparing and coordinating all subsidiary plans and
integrating them into a comprehensive project management plan
Develop Project Team The process of improving competencies team member interaction and overall team
environment to enhance project performance
Develop Schedule The process of analyzing activity sequences durations resource requirements and schedule
constraints to create the project schedule model
Diagramming Techniques Approaches to presenting information with logical linkages that aid in understanding
Dictatorship A group decisionmaking technique in which one individual makes the decision for the group538 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Direct and Manage Project Work The process of leading and performing the work defined in the project
management plan and implementing approved changes to achieve the project’s objectives
Discrete Effort An activity that can be planned and measured and that yields a specific output [Note Discrete
effort is one of three earned value management (EVM) types of activities used to measure work performance]
Discretionary Dependency A relationship that is established based on knowledge of best practices within a
particular application area or an aspect of the project where a specific sequence is desired
Document Analysis An elicitation technique that analyzes existing documentation and identifies information
relevant to the requirements
Documentation Reviews The process of gathering a corpus of information and reviewing it to determine accuracy
and completeness
Duration (DU or DUR) The total number of work periods (not including holidays or other nonworking periods)
required to complete a schedule activity or work breakdown structure component Usually expressed as workdays
or workweeks Sometimes incorrectly equated with elapsed time Contrast with effort
Early Finish Date (EF) In the critical path method the earliest possible point in time when the uncompleted
portions of a schedule activity can finish based on the schedule network logic the data date and any schedule
constraints
Early Start Date (ES) In the critical path method the earliest possible point in time when the uncompleted
portions of a schedule activity can start based on the schedule network logic the data date and any schedule
constraints
Earned Value (EV) The measure of work performed expressed in terms of the budget authorized for that work
Earned Value Management A methodology that combines scope schedule and resource measurements to
assess project performance and progress
Effort The number of labor units required to complete a schedule activity or work breakdown structure component
often expressed in hours days or weeks
Emotional Intelligence The capability to identify assess and manage the personal emotions of oneself and other
people as well as the collective emotions of groups of people539©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Enterprise Environmental Factors Conditions not under the immediate control of the team that influence
constrain or direct the project program or portfolio
Estimate A quantitative assessment of the likely amount or outcome Usually applied to project costs resources
effort and durations and is usually preceded by a modifier (ie preliminary conceptual feasibility orderof
magnitude definitive) It should always include some indication of accuracy (eg ± x percent) See also budget
and cost
Estimate Activity Durations The process of estimating the number of work periods needed to complete individual
activities with estimated resources
Estimate Activity Resources The process of estimating the type and quantities of material human resources
equipment or supplies required to perform each activity
Estimate at Completion (EAC) The expected total cost of completing all work expressed as the sum of the actual
cost to date and the estimate to complete
Estimate Costs The process of developing an approximation of the monetary resources needed to complete
project activities
Estimate to Complete (ETC) The expected cost to finish all the remaining project work
Execute Directing managing performing and accomplishing the project work providing the deliverables and
providing work performance information
Executing Process Group Those processes performed to complete the work defined in the project management
plan to satisfy the project specifications
Expected Monetary Value (EMV) Analysis A statistical technique that calculates the average outcome when
the future includes scenarios that may or may not happen A common use of this technique is within decision tree
analysis
Expert Judgment Judgment provided based upon expertise in an application area knowledge area discipline
industry etc as appropriate for the activity being performed Such expertise may be provided by any group or
person with specialized education knowledge skill experience or training540 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
External Dependency A relationship between project activities and nonproject activities
Facilitated Workshops An elicitation technique using focused sessions that bring key crossfunctional
stakeholders together to define product requirements
Failure Mode and Effect Analysis (FMEA) An analytical procedure in which each potential failure mode in
every component of a product is analyzed to determine its effect on the reliability of that component and by
itself or in combination with other possible failure modes on the reliability of the product or system and on the
required function of the component or the examination of a product (at the system andor lower levels) for all
ways that a failure may occur For each potential failure an estimate is made of its effect on the total system
and of its impact In addition a review is undertaken of the action planned to minimize the probability of failure
and to minimize its effects
Fallback Plan Fallback plans include an alternative set of actions and tasks available in the event that the primary
plan needs to be abandoned because of issues risks or other causes
Fast Tracking A schedule compression technique in which activities or phases normally done in sequence are
performed in parallel for at least a portion of their duration
Fee Represents profit as a component of compensation to a seller
Finish Date A point in time associated with a schedule activity’s completion Usually qualified by one of the
following actual planned estimated scheduled early late baseline target or current
FinishtoFinish (FF) A logical relationship in which a successor activity cannot finish until a predecessor
activity has finished
FinishtoStart (FS) A logical relationship in which a successor activity cannot start until a predecessor
activity has finished
FirmFixedPrice Contract (FFP) A type of fixed price contract where the buyer pays the seller a set amount
(as defined by the contract) regardless of the seller’s costs
Fishbone diagram See Cause and Effect Diagram
Fixed Formula Method An earned value method for assigning a specified percentage of budget value for a
work package to the start milestone of the work package with the remaining budget value percentage assigned
when the work package is complete541©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Fixed Price Incentive Fee Contract (FPIF) A type of contract where the buyer pays the seller a set amount (as
defined by the contract) and the seller can earn an additional amount if the seller meets defined performance
criteria
Fixed Price with Economic Price Adjustment Contracts (FPEPA) A fixedprice contract but with a special
provision allowing for predefined final adjustments to the contract price due to changed conditions such as inflation
changes or cost increases (or decreases) for specific commodities
FixedPrice Contracts An agreement that sets the fee that will be paid for a defined scope of work regardless of
the cost or effort to deliver it
Float Also called slack See total float and free float
Flowchart The depiction in a diagram format of the inputs process actions and outputs of one or more processes
within a system
Focus Groups An elicitation technique that brings together prequalified stakeholders and subject matter experts
to learn about their expectations and attitudes about a proposed product service or result
Forecast An estimate or prediction of conditions and events in the project’s future based on information and
knowledge available at the time of the forecast The information is based on the project’s past performance and
expected future performance and includes information that could impact the project in the future such as estimate
at completion and estimate to complete
Forward Pass A critical path method technique for calculating the early start and early finish dates by working
forward through the schedule model from the project start date or a given point in time
Free Float The amount of time that a schedule activity can be delayed without delaying the early start date of any
successor or violating a schedule constraint
Functional Manager Someone with management authority over an organizational unit within a functional
organization The manager of any group that actually makes a product or performs a service Sometimes called a
line manager
Functional Organization A hierarchical organization where each employee has one clear superior and staff are
grouped by areas of specialization and managed by a person with expertise in that area542 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Funding Limit Reconciliation The process of comparing the planned expenditure of project funds against any
limits on the commitment of funds for the project to identify any variances between the funding limits and the
planned expenditures
Gantt Chart A bar chart of schedule information where activities are listed on the vertical axis dates are
shown on the horizontal axis and activity durations are shown as horizontal bars placed according to start and
finish dates
Grade A category or rank used to distinguish items that have the same functional use (eg hammer) but do
not share the same requirements for quality (eg different hammers may need to withstand different amounts of
force)
Ground Rules Expectations regarding acceptable behavior by project team members
Group Creativity Techniques Techniques that are used to generate ideas within a group of stakeholders
Group DecisionMaking Techniques Techniques to assess multiple alternatives that will be used to generate
classify and prioritize product requirements
Guideline An official recommendation or advice that indicates policies standards or procedures for how
something should be accomplished
Hammock Activity See summary activity
Hard Logic See mandatory dependency
Histogram A special form of bar chart used to describe the central tendency dispersion and shape of a
statistical distribution
Historical Information Documents and data on prior projects including project files records correspondence
closed contracts and closed projects
Human Resource Management Plan A component of the project management plan that describes how the
roles and responsibilities reporting relationships and staff management will be addressed and structured
IdeaMind Mapping Technique used to consolidate ideas created through individual brainstorming sessions into
a single map to reflect commonality and differences in understanding and to generate new ideas
Identify Risks The process of determining which risks may affect the project and documenting their characteristics543©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Identify Stakeholders The process of identifying the people groups or organizations that could impact or be
impacted by a decision activity or outcome of the project and analyzing and documenting relevant information
regarding their interests involvement interdependencies influence and potential impact on project success
Imposed Date A fixed date imposed on a schedule activity or schedule milestone usually in the form of a
start no earlier than and finish no later than date
Incentive Fee A set of financial incentives related to cost schedule or technical performance of the seller
Incremental Life Cycle A project life cycle where the project scope is generally determined early in the project
life cycle but time and cost estimates are routinely modified as the project team’s understanding of the product
increases Iterations develop the product through a series of repeated cycles while increments successively add to
the functionality of the product
Independent Estimates A process of using a third party to obtain and analyze information to support prediction
of cost schedule or other items
Influence Diagram A graphical representation of situations showing causal influences time ordering of events
and other relationships among variables and outcomes
Information Gathering Techniques Repeatable processes used to assemble and organize data across a spectrum
of sources
Information Management Systems Facilities processes and procedures used to collect store and distribute
information between producers and consumers of information in physical or electronic format
Initiating Process Group Those processes performed to define a new project or a new phase of an existing project
by obtaining authorization to start the project or phase
Input Any item whether internal or external to the project that is required by a process before that process
proceeds May be an output from a predecessor process
Inspection Examining or measuring to verify whether an activity component product result or service conforms
to specified requirements
Inspections and Audits A process to observe performance of contracted work or a promised product against
agreedupon requirements544 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Interpersonal Skills Ability to establish and maintain relationships with other people
Interrelationship Digraphs A quality management planning tool the interrelationship digraphs provide a
process for creative problemsolving in moderately complex scenarios that possess intertwined logical
relationships
Interviews A formal or informal approach to elicit information from stakeholders by talking to them directly
Invitation for Bid (IFB) Generally this term is equivalent to request for proposal However in some application
areas it may have a narrower or more specific meaning
Issue A point or matter in question or in dispute or a point or matter that is not settled and is under discussion or
over which there are opposing views or disagreements
Issue Log A project document used to document and monitor elements under discussion or in dispute between
project stakeholders
Iterative Life Cycle A project life cycle where the project scope is generally determined early in the project life
cycle but time and cost estimates are routinely modified as the project team’s understanding of the product
increases Iterations develop the product through a series of repeated cycles while increments successively add to
the functionality of the product
Lag The amount of time whereby a successor activity is required to be delayed with respect to a predecessor
activity
Late Finish Date (LF) In the critical path method the latest possible point in time when the uncompleted portions
of a schedule activity can finish based on the schedule network logic the project completion date and any schedule
constraints
Late Start Date (LS) In the critical path method the latest possible point in time when the uncompleted portions
of a schedule activity can start based on the schedule network logic the project completion date and any schedule
constraints
Lead The amount of time whereby a successor activity can be advanced with respect to a predecessor activity
Lessons Learned The knowledge gained during a project which shows how project events were addressed or
should be addressed in the future with the purpose of improving future performance
Lessons Learned Knowledge Base A store of historical information and lessons learned about both the outcomes
of previous project selection decisions and previous project performance545©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Level of Effort (LOE) An activity that does not produce definitive end products and is measured by the passage
of time [Note Level of effort is one of three earned valued management (EVM) types of activities used to measure
work performance]
Leveling See resource leveling
Life Cycle See project life cycle
Log A document used to record and describe or denote selected items identified during execution of a process or
activity Usually used with a modifier such as issue quality control action or defect
Logical Relationship A dependency between two activities or between an activity and a milestone
Majority Support from more than 50 percent of the members of the group
MakeorBuy Analysis The process of gathering and organizing data about product requirements and analyzing
them against available alternatives including the purchase or internal manufacture of the product
MakeorBuy Decisions Decisions made regarding the external purchase or internal manufacture of a product
Manage Communications The process of creating collecting distributing storing retrieving and the ultimate
disposition of project information in accordance with the communications management plan
Manage Project Team The process of tracking team member performance providing feedback resolving issues
and managing team changes to optimize project performance
Manage Stakeholder Engagement The process of communicating and working with stakeholders to meet their
needsexpectations address issues as they occur and foster appropriate stakeholder engagement in project
activities throughout the project life cycle
Management Reserve An amount of the project budget withheld for management control purposes These
are budgets reserved for unforeseen work that is within scope of the project The management reserve is not
included in the performance measurement baseline (PMB)
Management Skills The ability to plan organize direct and control individuals or groups of people to achieve
specific goals
Mandatory Dependency A relationship that is contractually required or inherent in the nature of the work546 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Market Research The process of gathering information at conferences online reviews and a variety of sources
to identify market capabilities
Master Schedule A summarylevel project schedule that identifies the major deliverables and work breakdown
structure components and key schedule milestones See also milestone schedule
Material The aggregate of things used by an organization in any undertaking such as equipment apparatus tools
machinery gear material and supplies
Matrix Diagrams A quality management and control tool used to perform data analysis within the organizational
structure created in the matrix The matrix diagram seeks to show the strength of relationships between factors
causes and objectives that exist between the rows and columns that form the matrix
Matrix Organization Any organizational structure in which the project manager shares responsibility with the
functional managers for assigning priorities and for directing the work of persons assigned to the project
Methodology A system of practices techniques procedures and rules used by those who work in a discipline
Milestone A significant point or event in a project program or portfolio
Milestone List A list identifying all project milestones and normally indicates whether the milestone is mandatory
or optional
Milestone Schedule A summarylevel schedule that identifies the major schedule milestones See also master
schedule
Monitor Collect project performance data with respect to a plan produce performance measures and report and
disseminate performance information
Monitor and Control Project Work The process of tracking reviewing and reporting the progress to meet the
performance objectives defined in the project management plan
Monitoring and Controlling Process Group Those processes required to track review and regulate the progress
and performance of the project identify any areas in which changes to the plan are required and initiate the
corresponding changes547©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Monte Carlo Simulation A process which generates hundreds or thousands of probable performance outcomes
based on probability distributions for cost and schedule on individual tasks The outcomes are then used to generate
a probability distribution for the project as a whole
Most Likely Duration An estimate of the most probable activity duration that takes into account all of the known
variables that could affect performance
MultiCriteria Decision Analysis This technique utilizes a decision matrix to provide a systematic analytical
approach for establishing criteria such as risk levels uncertainty and valuation to evaluate and rank many ideas
NearCritical Activity A schedule activity that has low total float The concept of nearcritical is equally applicable
to a schedule activity or schedule network path The limit below which total float is considered near critical is
subject to expert judgment and varies from project to project
Negotiated Settlements The process of reaching final equitable settlement of all outstanding issues claims and
disputes through negotiation
Negotiation The process and activities to resolving disputes through consultations between involved parties
Network See project schedule network diagram
Network Analysis See schedule network analysis
Network Logic The collection of schedule activity dependencies that makes up a project schedule network
diagram
Network Path Any continuous series of schedule activities connected with logical relationships in a project
schedule network diagram
Networking Establishing connections and relationships with other people from the same or other organizations
Node One of the defining points of a schedule network a junction point joined to some or all of the other dependency
lines
Nominal Group Technique A technique that enhances brainstorming with a voting process used to rank the
most useful ideas for further brainstorming or for prioritization548 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Nonconformance Work In the cost of quality framework nonconformance work is done to deal with the
consequences of errors and failures in doing activities correctly on the first attempt In efficient quality management
systems the amount of nonconformance work will approach zero
Objective Something toward which work is to be directed a strategic position to be attained a purpose to be
achieved a result to be obtained a product to be produced or a service to be performed
Observations A technique that provides a direct way of viewing individuals in their environment performing their
jobs or tasks and carrying out processes
Opportunity A risk that would have a positive effect on one or more project objectives
Optimistic Duration An estimate of the shortest activity duration that takes into account all of the known
variables that could affect performance
Organizational Breakdown Structure (OBS) A hierarchical representation of the project organization that
illustrates the relationship between project activities and the organizational units that will perform those activities
Organizational Process Assets Plans processes policies procedures and knowledge bases that are specific to
and used by the performing organization
Organizational Project Management Maturity The level of an organization’s ability to deliver the desired strategic
outcomes in a predictable controllable and reliable manner
Output A product result or service generated by a process May be an input to a successor process
Parametric Estimating An estimating technique in which an algorithm is used to calculate cost or duration
based on historical data and project parameters
Pareto Diagram A histogram ordered by frequency of occurrence that shows how many results were
generated by each identified cause
Path Convergence A relationship in which a schedule activity has more than one predecessor
Path Divergence A relationship in which a schedule activity has more than one successor
Payment Systems The system used to provide and track supplier’s invoices and payments for services and
products549©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Percent Complete An estimate expressed as a percent of the amount of work that has been completed on an
activity or a work breakdown structure component
Perform Integrated Change Control The process of reviewing all change requests approving changes
and managing changes to deliverables organizational process assets project documents and the project
management plan and communicating their disposition
Perform Qualitative Risk Analysis The process of prioritizing risks for further analysis or action by assessing and
combining their probability of occurrence and impact
Perform Quality Assurance The process of auditing the quality requirements and the results from quality control
measurements to ensure that appropriate quality standards and operational definitions are used
Perform Quantitative Risk Analysis The process of numerically analyzing the effect of identified risks on overall
project objectives
Performance Measurement Baseline An approved integrated scopeschedulecost plan for the project work
against which project execution is compared to measure and manage performance The PMB includes contingency
reserve but excludes management reserve
Performance Reporting See work performance reports
Performance Reports See work performance reports
Performance Reviews A technique that is used to measure compare and analyze actual performance of
work in progress on the project against the baseline
Performing Organization An enterprise whose personnel are most directly involved in doing the work of the
project or program
Pessimistic Duration Estimate of the longest activity duration that takes into account all of the known variables
that could affect performance
Phase See project phase
Phase Gate A review at the end of a phase in which a decision is made to continue to the next phase to
continue with modification or to end a project or program
Plan Communications Management The process of developing an appropriate approach and plan for project
communications based on stakeholder’s information needs and requirements and available organizational assets550 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Plan Cost Management The process that establishes the policies procedures and documentation for planning
managing expending and controlling project costs
Plan Human Resource Management The process of identifying and documenting project roles responsibilities
required skills reporting relationships and creating a staffing management plan
Plan Procurement Management The process of documenting project procurement decisions specifying the
approach and identifying potential sellers
Plan Quality Management The process of identifying quality requirements andor standards for the project and its
deliverables and documenting how the project will demonstrate compliance with quality requirements
Plan Risk Management The process of defining how to conduct risk management activities for a project
Plan Risk Responses The process of developing options and actions to enhance opportunities and to reduce
threats to project objectives
Plan Schedule Management The process of establishing the policies procedures and documentation for
planning developing managing executing and controlling the project schedule
Plan Scope Management The process of creating a scope management plan that documents how the project
scope will be defined validated and controlled
Plan Stakeholder Management The process of developing appropriate management strategies to effectively
engage stakeholders throughout the project life cycle based on the analysis of their needs interests and potential
impact on project success
Planned Value (PV) The authorized budget assigned to scheduled work
Planning Package A work breakdown structure component below the control account with known work
content but without detailed schedule activities See also control account
Planning Process Group Those processes required to establish the scope of the project refine the objectives and
define the course of action required to attain the objectives that the project was undertaken to achieve
Plurality Decisions made by the largest block in a group even if a majority is not achieved
Policy A structured pattern of actions adopted by an organization such that the organization’s policy can be
explained as a set of basic principles that govern the organization’s conduct551©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Portfolio Projects programs subportfolios and operations managed as a group to achieve strategic objectives
Portfolio Management The centralized management of one or more portfolios to achieve strategic objectives
Practice A specific type of professional or management activity that contributes to the execution of a process
and that may employ one or more techniques and tools
Precedence Diagramming Method (PDM) A technique used for constructing a schedule model in which
activities are represented by nodes and are graphically linked by one or more logical relationships to show the
sequence in which the activities are to be performed
Precedence Relationship The term used in the precedence diagramming method for a logical relationship In current
usage however precedence relationship logical relationship and dependency are widely used interchangeably
regardless of the diagramming method used See also logical relationship
Precision Within the quality management system precision is a measure of exactness
Predecessor Activity An activity that logically comes before a dependent activity in a schedule
Predictive Life Cycle A form of project life cycle in which the project scope and the time and cost required to
deliver that scope are determined as early in the life cycle as possible
Preferential Logic See discretionary dependency
Preferred Logic See discretionary dependency
Preventive Action An intentional activity that ensures the future performance of the project work is aligned
with the project management plan
Prioritization Matrices A quality management planning tool used to identify key issues and evaluate suitable
alternatives to define a set of implementation priorities
Probability and Impact Matrix A grid for mapping the probability of each risk occurrence and its impact on
project objectives if that risk occurs
Procedure An established method of accomplishing a consistent performance or result a procedure typically
can be described as the sequence of steps that will be used to execute a process
Process A systematic series of activities directed towards causing an end result such that one or more inputs
will be acted upon to create one or more outputs552 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Process Analysis A process analysis follows the steps outlined in the process improvement plan to identify
needed improvements
Process Decision Program Charts (PDPC) The PDPC is used to understand a goal in relation to the steps for
getting to the goal
Process Improvement Plan A subsidiary plan of the project management plan It details the steps for analyzing
processes to identify activities that enhance their value
Procurement Audits The review of contracts and contracting processes for completeness accuracy and
effectiveness
Procurement Documents The documents utilized in bid and proposal activities which include the buyer’s
Invitation for Bid Invitation for Negotiations Request for Information Request for Quotation Request for Proposal
and seller’s responses
Procurement Management Plan A component of the project or program management plan that describes
how a project team will acquire goods and services from outside the performing organization
Procurement Performance Reviews A structured review of the seller’s progress to deliver project scope and
quality within cost and on schedule as compared to the contract
Procurement Statement of Work Describes the procurement item in sufficient detail to allow prospective sellers
to determine if they are capable of providing the products services or results
Product An artifact that is produced is quantifiable and can be either an end item in itself or a component item
Additional words for products are material and goods Contrast with result See also deliverable
Product Analysis For projects that have a product as a deliverable it is a tool to define scope that generally means
asking questions about a product and forming answers to describe the use characteristics and other the relevant
aspects of what is going to be manufactured
Product Life Cycle The series of phases that represent the evolution of a product from concept through delivery
growth maturity and to retirement
Product Scope The features and functions that characterize a product service or result
Product Scope Description The documented narrative description of the product scope553©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Program A group of related projects subprograms and program activities managed in a coordinated way to
obtain benefits not available from managing them individually
Program Evaluation and Review Technique (PERT) A technique for estimating that applies a weighted
average of optimistic pessimistic and most likely estimates when there is uncertainty with the individual activity
estimates
Program Management The application of knowledge skills tools and techniques to a program to meet the
program requirements and to obtain benefits and control not available by managing projects individually
Progressive Elaboration The iterative process of increasing the level of detail in a project management plan as
greater amounts of information and more accurate estimates become available
Project A temporary endeavor undertaken to create a unique product service or result
ProjectBased Organizations (PBOs) A variety of organizational forms that involve the creation of temporary
systems for the performance of projects PBOs conduct the majority of their activities as projects andor provide
project over functional approaches
Project Calendar A calendar that identifies working days and shifts that are available for scheduled activities
Project Charter A document issued by the project initiator or sponsor that formally authorizes the existence
of a project and provides the project manager with the authority to apply organizational resources to project
activities
Project Communications Management Project Communications Management includes the processes that
are required to ensure timely and appropriate planning collection creation distribution storage retrieval
management control monitoring and the ultimate disposition of project information
Project Cost Management Project Cost Management includes the processes involved in planning estimating
budgeting financing funding managing and controlling costs so that the project can be completed within the
approved budget
Project Funding Requirements Forecast project costs to be paid that are derived from the cost baseline for total
or periodic requirements including projected expenditures plus anticipated liabilities
Project Governance The alignment of project objectives with the strategy of the larger organization by the
project sponsor and project team A project’s governance is defined by and is required to fit within the larger
context of the program or organization sponsoring it but is separate from organizational governance554 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Project Human Resource Management Project Human Resource Management includes the processes that
organize manage and lead the project team
Project Initiation Launching a process that can result in the authorization of a new project
Project Integration Management Project Integration Management includes the processes and activities needed
to identify define combine unify and coordinate the various processes and project management activities within
the Project Management Process Groups
Project Life Cycle The series of phases that a project passes through from its initiation to its closure
Project Management The application of knowledge skills tools and techniques to project activities to meet the
project requirements
Project Management Body of Knowledge An inclusive term that describes the sum of knowledge within
the profession of project management As with other professions such as law medicine and accounting the
body of knowledge rests with the practitioners and academics that apply and advance it The complete project
management body of knowledge includes proven traditional practices that are widely applied and innovative
practices that are emerging in the profession The body of knowledge includes both published and unpublished
materials This body of knowledge is constantly evolving PMI’s PMBOK® Guide identifies a subset of the project
management body of knowledge that is generally recognized as good practice
Project Management Information System An information system consisting of the tools and techniques used to
gather integrate and disseminate the outputs of project management processes It is used to support all aspects
of the project from initiating through closing and can include both manual and automated systems
Project Management Knowledge Area An identified area of project management defined by its knowledge
requirements and described in terms of its component processes practices inputs outputs tools and techniques
Project Management Office (PMO) An organizational structure that standardizes the projectrelated governance
processes and facilitates the sharing of resources methodologies tools and techniques
Project Management Plan The document that describes how the project will be executed monitored and
controlled
Project Management Process Group A logical grouping of project management inputs tools and techniques
and outputs The Project Management Process Groups include initiating processes planning processes executing
processes monitoring and controlling processes and closing processes Project Management Process Groups are
not project phases555©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Project Management Staff The members of the project team who perform project management activities such as
schedule communications risk management etc
Project Management System The aggregation of the processes tools techniques methodologies resources and
procedures to manage a project
Project Management Team The members of the project team who are directly involved in project management
activities On some smaller projects the project management team may include virtually all of the project team
members
Project Manager (PM) The person assigned by the performing organization to lead the team that is responsible
for achieving the project objectives
Project Organization Chart A document that graphically depicts the project team members and their
interrelationships for a specific project
Project Phase A collection of logically related project activities that culminates in the completion of one or
more deliverables
Project Procurement Management Project Procurement Management includes the processes necessary to
purchase or acquire products services or results needed from outside the project team
Project Quality Management Project Quality Management includes the processes and activities of the performing
organization that determine quality policies objectives and responsibilities so that the project will satisfy the needs
for which it was undertaken
Project Risk Management Project Risk Management includes the processes of conducting risk management
planning identification analysis response planning and controlling risk on a project
Project Schedule An output of a schedule model that presents linked activities with planned dates durations
milestones and resources
Project Schedule Network Diagram A graphical representation of the logical relationships among the project
schedule activities
Project Scope The work performed to deliver a product service or result with the specified features and functions
Project Scope Management Project Scope Management includes the processes required to ensure that the
project includes all the work required and only the work required to complete the project successfully556 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Project Scope Statement The description of the project scope major deliverables assumptions and constraints
Project Stakeholder Management Project Stakeholder Management includes the processes required to identify
all people or organizations impacted by the project analyzing stakeholder expectations and impact on the project
and developing appropriate management strategies for effectively engaging stakeholders in project decisions and
execution
Project Statement of Work See statement of work
Project Team A set of individuals who support the project manager in performing the work of the project to
achieve its objectives
Project Team Directory A documented list of project team members their project roles and communication
information
Project Time Management Project Time Management includes the processes required to manage the timely
completion of the project
Projectized Organization Any organizational structure in which the project manager has full authority to assign
priorities apply resources and direct the work of persons assigned to the project
Proposal Evaluation Techniques The process of reviewing proposals provided by suppliers to support contract
award decisions
Prototypes A method of obtaining early feedback on requirements by providing a working model of the expected
product before actually building it
Quality The degree to which a set of inherent characteristics fulfills requirements
Quality Audits A quality audit is a structured independent process to determine if project activities comply
with organizational and project policies processes and procedures
Quality Checklists A structured tool used to verify that a set of required steps has been performed
Quality Control Measurements The documented results of control quality activities
Quality Function Deployment (QFD) A facilitated workshop technique that helps to determine critical
characteristics for new product development
Quality Management and Control Tools They are a type of quality planning tools used to link and sequence the
activities identified557©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Quality Management Plan A component of the project or program management plan that describes how an
organization’s quality policies will be implemented
Quality Management System The organizational framework whose structure provides the policies processes
procedures and resources required to implement the quality management plan The typical project quality
management plan should be compatible to the organization’s quality management system
Quality Metrics A description of a project or product attribute and how to measure it
Quality Policy A policy specific to the Project Quality Management Knowledge Area it establishes the basic
principles that should govern the organization’s actions as it implements its system for quality management
Quality Requirement A condition or capability that will be used to assess conformance by validating the
acceptability of an attribute for the quality of a result
Quantitative Risk Analysis and Modeling Techniques Commonly used techniques for both eventoriented and
projectoriented analysis approaches
Questionnaires and Surveys Written sets of questions designed to quickly accumulate information from a large
number of respondents
RACI A common type of responsibility assignment matrix that uses responsible accountable consult and inform
statuses to define the involvement of stakeholders in project activities
Records Management System A specific set of processes related control functions and tools that are
consolidated and combined to record and retain information about the project
Regression Analysis An analytic technique where a series of input variables are examined in relation to their
corresponding output results in order to develop a mathematical or statistical relationship
Regulation Requirements imposed by a governmental body These requirements can establish product process or
service characteristics including applicable administrative provisions that have governmentmandated compliance
Reporting Systems Facilities processes and procedures used to generate or consolidate reports from one or
more information management systems and facilitate report distribution to the project stakeholders
Request for Information (RFI) A type of procurement document whereby the buyer requests a potential seller
to provide various pieces of information related to a product or service or seller capability558 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Request for Proposal (RFP) A type of procurement document used to request proposals from prospective
sellers of products or services In some application areas it may have a narrower or more specific meaning
Request for Quotation (RFQ) A type of procurement document used to request price quotations from
prospective sellers of common or standard products or services Sometimes used in place of request for
proposal and in some application areas it may have a narrower or more specific meaning
Requested Change A formally documented change request that is submitted for approval to the integrated
change control process
Requirement A condition or capability that is required to be present in a product service or result to satisfy a
contract or other formally imposed specification
Requirements Documentation A description of how individual requirements meet the business need for the
project
Requirements Management Plan A component of the project or program management plan that describes how
requirements will be analyzed documented and managed
Requirements Traceability Matrix A grid that links product requirements from their origin to the deliverables
that satisfy them
Reserve A provision in the project management plan to mitigate cost andor schedule risk Often used with a
modifier (eg management reserve contingency reserve) to provide further detail on what types of risk are meant
to be mitigated
Reserve Analysis An analytical technique to determine the essential features and relationships of components in
the project management plan to establish a reserve for the schedule duration budget estimated cost or funds for
a project
Residual Risk A risk that remains after risk responses have been implemented
Resource Skilled human resources (specific disciplines either individually or in crews or teams) equipment
services supplies commodities material budgets or funds
Resource Breakdown Structure A hierarchical representation of resources by category and type
Resource Calendar A calendar that identifies the working days and shifts on which each specific resource is
available559©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Resource Histogram A bar chart showing the amount of time that a resource is scheduled to work over a series of
time periods Resource availability may be depicted as a line for comparison purposes Contrasting bars may show
actual amounts of resources used as the project progresses
Resource Leveling A technique in which start and finish dates are adjusted based on resource constraints with
the goal of balancing demand for resources with the available supply
Resource Optimization Techniques A technique that is used to adjust the start and finish dates of activities that
adjust planned resource use to be equal to or less than resource availability
Resource Smoothing A technique which adjusts the activities of a schedule model such that the requirement for
resources on the project do not exceed certain predefined resource limits
Responsibility An assignment that can be delegated within a project management plan such that the assigned
resource incurs a duty to perform the requirements of the assignment
Responsibility Assignment Matrix (RAM) A grid that shows the project resources assigned to each work
package
Result An output from performing project management processes and activities Results include outcomes
(eg integrated systems revised process restructured organization tests trained personnel etc) and documents
(eg policies plans studies procedures specifications reports etc) Contrast with product See also deliverable
Rework Action taken to bring a defective or nonconforming component into compliance with requirements or
specifications
Risk An uncertain event or condition that if it occurs has a positive or negative effect on one or more project
objectives
Risk Acceptance A risk response strategy whereby the project team decides to acknowledge the risk and not
take any action unless the risk occurs
Risk Appetite The degree of uncertainty an entity is willing to take on in anticipation of a reward
Risk Audits Examination and documentation of the effectiveness of risk responses in dealing with identified risks
and their root causes as well as the effectiveness of the risk management process
Risk Avoidance A risk response strategy whereby the project team acts to eliminate the threat or protect the
project from its impact560 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Risk Breakdown Structure (RBS) A hierarchical representation of risks according to their risk categories
Risk Categorization Organization by sources of risk (eg using the RBS) the area of the project affected (eg
using the WBS) or other useful category (eg project phase) to determine the areas of the project most exposed
to the effects of uncertainty
Risk Category A group of potential causes of risk
Risk Data Quality Assessment Technique to evaluate the degree to which the data about risks is useful for risk
management
Risk Management Plan A component of the project program or portfolio management plan that describes how
risk management activities will be structured and performed
Risk Mitigation A risk response strategy whereby the project team acts to reduce the probability of occurrence
or impact of a risk
Risk Reassessment Risk reassessment is the identification of new risks reassessment of current risks and the
closing of risks that are outdated
Risk Register A document in which the results of risk analysis and risk response planning are recorded
Risk Threshold Measure of the level of uncertainty or the level of impact at which a stakeholder may have a
specific interest Below that risk threshold the organization will accept the risk Above that risk threshold the
organization will not tolerate the risk
Risk Tolerance The degree amount or volume of risk that an organization or individual will withstand
Risk Transference A risk response strategy whereby the project team shifts the impact of a threat to a third
party together with ownership of the response
Risk Urgency Assessment Review and determination of the timing of actions that may need to occur sooner than
other risk items
Role A defined function to be performed by a project team member such as testing filing inspecting or coding
Rolling Wave Planning An iterative planning technique in which the work to be accomplished in the near term
is planned in detail while the work in the future is planned at a higher level561©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Root Cause Analysis An analytical technique used to determine the basic underlying reason that causes a
variance or a defect or a risk A root cause may underlie more than one variance or defect or risk
Scatter Diagram A correlation chart that uses a regression line to explain or to predict how the change in an
independent variable will change a dependent variable
Schedule See project schedule and see also schedule model
Schedule Baseline The approved version of a schedule model that can be changed only through formal change
control procedures and is used as a basis for comparison to actual results
Schedule Compression Techniques used to shorten the schedule duration without reducing the project scope
Schedule Data The collection of information for describing and controlling the schedule
Schedule Forecasts Estimates or predictions of conditions and events in the project’s future based on information
and knowledge available at the time the schedule is calculated
Schedule Management Plan A component of the project management plan that establishes the criteria and the
activities for developing monitoring and controlling the schedule
Schedule Model A representation of the plan for executing the project’s activities including durations
dependencies and other planning information used to produce a project schedule along with other scheduling
artifacts
Schedule Network Analysis The technique of identifying early and late start dates as well as early and late finish
dates for the uncompleted portions of project schedule activities See also backward pass critical path method
critical chain method and resource leveling
Schedule Network Templates A set of activities and relationships that have been established that can be used
repeatedly for a particular application area or an aspect of the project where a prescribed sequence is desired
Schedule Performance Index (SPI) A measure of schedule efficiency expressed as the ratio of earned value to
planned value
Schedule Variance (SV) A measure of schedule performance expressed as the difference between the earned
value and the planned value
Scheduling Tool A tool that provides schedule component names definitions structural relationships and
formats that support the application of a scheduling method562 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Scope The sum of the products services and results to be provided as a project See also project scope and
product scope
Scope Baseline The approved version of a scope statement work breakdown structure (WBS) and its associated
WBS dictionary that can be changed only through formal change control procedures and is used as a basis for
comparison
Scope Change Any change to the project scope A scope change almost always requires an adjustment to the
project cost or schedule
Scope Creep The uncontrolled expansion to product or project scope without adjustments to time cost and
resources
Scope Management Plan A component of the project or program management plan that describes how the
scope will be defined developed monitored controlled and verified
Secondary Risk A risk that arises as a direct result of implementing a risk response
Selected Sellers The sellers which have been selected to provide a contracted set of services or products
Seller A provider or supplier of products services or results to an organization
Seller Proposals Formal responses from sellers to a request for proposal or other procurement document
specifying the price commercial terms of sale and technical specifications or capabilities the seller will do for the
requesting organization that if accepted would bind the seller to perform the resulting agreement
Sensitivity Analysis A quantitative risk analysis and modeling technique used to help determine which risks have
the most potential impact on the project It examines the extent to which the uncertainty of each project element
affects the objective being examined when all other uncertain elements are held at their baseline values The typical
display of results is in the form of a tornado diagram
Sequence Activities The process of identifying and documenting relationships among the project activities
Seven Basic Quality Tools A standard toolkit used by quality management professionals who are responsible for
planning monitoring and controlling the issues related to quality in an organization
Simulation A simulation uses a project model that translates the uncertainties specified at a detailed level into
their potential impact on objectives that are expressed at the level of the total project Project simulations use
computer models and estimates of risk usually expressed as a probability distribution of possible costs or durations
at a detailed work level and are typically performed using Monte Carlo analysis563©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Soft Logic See discretionary dependency
Source Selection Criteria A set of attributes desired by the buyer which a seller is required to meet or exceed to
be selected for a contract
Specification A document that specifies in a complete precise verifiable manner the requirements design
behavior or other characteristics of a system component product result or service and the procedures for
determining whether these provisions have been satisfied Examples are requirement specification design
specification product specification and test specification
Specification Limits The area on either side of the centerline or mean of data plotted on a control chart that
meets the customer’s requirements for a product or service This area may be greater than or less than the area
defined by the control limits See also control limits
Sponsor A person or group who provides resources and support for the project program or portfolio and is
accountable for enabling success
Sponsoring Organization The entity responsible for providing the project’s sponsor and a conduit for project
funding or other project resources
Staffing Management Plan A component of the human resource plan that describes when and how project
team members will be acquired and how long they will be needed
Stakeholder An individual group or organization who may affect be affected by or perceive itself to be
affected by a decision activity or outcome of a project
Stakeholder Analysis A technique of systematically gathering and analyzing quantitative and qualitative
information to determine whose interests should be taken into account throughout the project
Stakeholder Management Plan The stakeholder management plan is a subsidiary plan of the project management
plan that defines the processes procedures tools and techniques to effectively engage stakeholders in project
decisions and execution based on the analysis of their needs interests and potential impact
Stakeholder Register A project document including the identification assessment and classification of project
stakeholders
Standard A document that provides for common and repeated use rules guidelines or characteristics for
activities or their results aimed at the achievement of the optimum degree of order in a given context564 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Start Date A point in time associated with a schedule activity’s start usually qualified by one of the following
actual planned estimated scheduled early late target baseline or current
StarttoFinish (SF) A logical relationship in which a successor activity cannot finish until a predecessor activity
has started
StarttoStart (SS) A logical relationship in which a successor activity cannot start until a predecessor activity has
started
Statement of Work (SOW) A narrative description of products services or results to be delivered by the project
Statistical Sampling Choosing part of a population of interest for inspection
Subnetwork A subdivision (fragment) of a project schedule network diagram usually representing a subproject
or a work package Often used to illustrate or study some potential or proposed schedule condition such as
changes in preferential schedule logic or project scope
Subproject A smaller portion of the overall project created when a project is subdivided into more manageable
components or pieces
Successor Activity A dependent activity that logically comes after another activity in a schedule
Summary Activity A group of related schedule activities aggregated and displayed as a single activity
SWOT Analysis Analysis of strengths weaknesses opportunities and threats of an organization project
or option
Tailor The act of carefully selecting process and related inputs and outputs contained within the PMBOK® Guide
to determine a subset of specific processes that will be included within a project’s overall management approach
Team Members See project team members
Technique A defined systematic procedure employed by a human resource to perform an activity to produce a
product or result or deliver a service and that may employ one or more tools
Templates A partially complete document in a predefined format that provides a defined structure for collecting
organizing and presenting information and data
Threat A risk that would have a negative effect on one or more project objectives565©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
ThreePoint Estimate A technique used to estimate cost or duration by applying an average of optimistic
pessimistic and most likely estimates when there is uncertainty with the individual activity estimates
Threshold A cost time quality technical or resource value used as a parameter and which may be included in
product specifications Crossing the threshold should trigger some action such as generating an exception report
Time and Material Contract (T&M) A type of contract that is a hybrid contractual arrangement containing aspects
of both costreimbursable and fixedprice contracts Time and material contracts resemble costreimbursable type
arrangements in that they have no definitive end because the full value of the arrangement is not defined at the
time of the award Thus time and material contracts can grow in contract value as if they were costreimbursable
type arrangements Conversely time and material arrangements can also resemble fixedprice arrangements For
example the unit rates are preset by the buyer and seller when both parties agree on the rates for the category of
senior engineers
TimeScaled Schedule Network Diagram Any project schedule network diagram drawn in such a way that the
positioning and length of the schedule activity represents its duration Essentially it is a bar chart that includes
schedule network logic
ToComplete Performance Index (TCPI) A measure of the cost performance that is required to be achieved with
the remaining resources in order to meet a specified management goal expressed as the ratio of the cost to finish
the outstanding work to the remaining budget
Tolerance The quantified description of acceptable variation for a quality requirement
Tornado Diagram A special type of bar chart used in sensitivity analysis for comparing the relative importance of
the variables
Tool Something tangible such as a template or software program used in performing an activity to produce a
product or result
Total Float The amount of time that a schedule activity can be delayed or extended from its early start date without
delaying the project finish date or violating a schedule constraint
Tree Diagram A systematic diagram of a decomposition hierarchy used to visualize as parenttochild
relationships a systematic set of rules566 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Trend Analysis An analytical technique that uses mathematical models to forecast future outcomes based on
historical results It is a method of determining the variance from a baseline of a budget cost schedule or scope
parameter by using prior progress reporting periods’ data and projecting how much that parameter’s variance from
baseline might be at some future point in the project if no changes are made in executing the project
Trigger Condition An event or situation that indicates that a risk is about to occur
Unanimity Agreement by everyone in the group on a single course of action
Validate Scope The process of formalizing acceptance of the completed project deliverables
Validated Deliverables Deliverables that are result of executing quality control process to determine correctness
Validation The assurance that a product service or system meets the needs of the customer and other identified
stakeholders It often involves acceptance and suitability with external customers Contrast with verification
Value Engineering An approach used to optimize project life cycle costs save time increase profits improve
quality expand market share solve problems andor use resources more effectively
Variance A quantifiable deviation departure or divergence away from a known baseline or expected value
Variance Analysis A technique for determining the cause and degree of difference between the baseline and
actual performance
Variance at Completion (VAC) A projection of the amount of budget deficit or surplus expressed as the
difference between the budget at completion and the estimate at completion
Variation An actual condition that is different from the expected condition that is contained in the baseline plan
Velocity A measure of a team’s productivity rate at which the deliverables are produced validated and
accepted within a predefined interval Velocity is a capacity planning approach frequently used to forecast
future project work
Verification The evaluation of whether or not a product service or system complies with a regulation requirement
specification or imposed condition It is often an internal process Contrast with validation
Voice of the Customer A planning technique used to provide products services and results that truly reflect
customer requirements by translating those customer requirements into the appropriate technical requirements for
each phase of project product development567©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
WBS Dictionary A document that provides detailed deliverable activity and scheduling information about each
component in the work breakdown structure
Weighted Milestone Method An earned value method that divides a work package into measurable segments
each ending with an observable milestone and then assigns a weighted value to the achievement of each milestone
WhatIf Scenario Analysis The process of evaluating scenarios in order to predict their effect on project objectives
Work Authorization A permission and direction typically written to begin work on a specific schedule activity or
work package or control account It is a method for sanctioning project work to ensure that the work is done by the
identified organization at the right time and in the proper sequence
Work Authorization System A subsystem of the overall project management system It is a collection of formal
documented procedures that defines how project work will be authorized (committed) to ensure that the work is
done by the identified organization at the right time and in the proper sequence It includes the steps documents
tracking system and defined approval levels needed to issue work authorizations
Work Breakdown Structure (WBS) A hierarchical decomposition of the total scope of work to be carried out by
the project team to accomplish the project objectives and create the required deliverables
Work Breakdown Structure Component An entry in the work breakdown structure that can be at any level
Work Package The work defined at the lowest level of the work breakdown structure for which cost and duration
can be estimated and managed
Work Performance Data The raw observations and measurements identified during activities being performed to
carry out the project work
Work Performance Information The performance data collected from various controlling processes analyzed in
context and integrated based on relationships across areas
Work Performance Reports The physical or electronic representation of work performance information compiled
in project documents intended to generate decisions actions or awareness
Workaround A response to a threat that has occurred for which a prior response had not been planned or was
not effective569©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
INDEX
INDEX
A
AC See Actual cost
Acceptance criteria 123 526
Accepted deliverables See under Deliverables
Accuracy 228 526
level of 148 162 170 171 175
Acquire Project Team process 255 447 526
inputs 269
outputs 272
overview 267–269
tools and techniques 270–272
Acquisition 270 526
Acquisition activities 265
Action item tracking 27 83 91
Activity 526
Activity attributes 185 526
as input 155 162 167 175
as output 153
Activity code 526
Activity cost estimates 526
as input 163 210 322 361
as output 207
Activity duration 526
Activity duration estimate 170 527
See also Estimate Activity Durations process
as input 175 322
range of possible results 172
Activity identifier (ID) 153 527
Activity list 527
as input 155 162 167 175
as output 152
Activity network diagrams 246
See also Project schedule network diagram
Activity on Arrow (AOA) 246
ActivityonNode (AON) 156 246
See also Precedence Diagramming Method
Activity resource requirements 185 527
See also Estimate Activity Resources process
as input 167 175 259 361
as output 165
Activity sequencing See Sequence Activities process
Actual cost (AC) 218 219 527
Actual duration 527
Adaptive life cycles 46 527
Additional quality planning tools 240 527
Adjusting leads and lags 527
ADR See Alternative dispute resolution
Advertising 376 527
AE See Apportioned effort
Affinity diagram 115 245 528
Agile approach 1 114 187
Agreements 70 528
See also Collective bargaining agreements Service level
agreements
as input 211 382
as output 377–378
Alternative analysis 164 528
Alternative dispute resolution (ADR) 378 384 388
Alternatives generation 123 528
American National Standards Institute (ANSI) 418
Analogous estimating 169–170 204–205 528
Analytical techniques 91–92 103 147–148 198 315 376 528
stakeholder engagement level 402–403
ANSI See American National Standards Institute
AON See ActivityOnNode
Application area 528
Applying leads and lags 528
Apportioned effort (AE) 528
Approved change request 96 528
as input 82 251 382
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Approved change request review 252 528
Arbitrary total float 158
Arbitration 388
Assumption(s) 124 168 348 529
Assumptions analysis 325 529
Assumptions log updates 333 348
Attribute sampling 250 529
Audits 135 See also Quality audits
configuration verification and 97
inspections and 383
procurement 388
project success or failure 101
quality 247 556
risk 351 354 559
Authority 264 529
B
BAC See Budget at completion
Backlog 529
Backward pass 176 177 529
Balanced matrix organization 2324
Bar chart 182 183 529
Baseline 76 88 140 529 See also Cost baseline Rebaselining
Schedule baseline Scope baseline
Baseline schedule 218 See also Schedule baseline
Basis of estimates 529
as input 210
as output 208
Benchmarking 116 239 529
Best practices
benchmarking and 116 239
discretionary dependencies and 158
meeting types and 84
quality audits and 247
systematic achievement of 7
Beta distribution 171 206
Bias risk attitudes and 311
Bid(s) 207 368 371 See also Proposals
Bidder See Seller(s)
Bidder conferences 375 529
Bottomup estimating 205
definition 530
description of 164
Boundaries
process 241
project 54 424
Brainstorming 115 171 207 240
definition 530
meetings and 84
risk identification and 324
Budget 365 530
Budget at completion (BAC) 89 218 219 530
Budgeting 316
Budget reserve analysis 211
Buffer(s) 178 189 See also Reserve
Buffer management 178
Business case 69 530
Business need 68
Business partners 33 36
Business requirements 112 117
Business value 15–16 530
Buyer
definition 530
terms for 357
Buyerseller relationship 357
Buy versus lease decision 201
C
CA See Control account
Calendar 185 See also Project calendar Resource calendars
Capability Maturity Model Integrated (CMMI®) 229
Causal analysis 91
Causal influences 325–326
Causeandeffect diagram 236 325 530
CCB See Change control board
Central tendency 530
Certified Associate in Project Management (CAPM)® 1
Change control 530 See also Perform Integrated Change
Control process
management reserves and 213
meetings 99
procedures 27
Change control board (CCB) 74 96 530
change management plan and 96
meetings and 99
Change control system 531 See also Contract change control
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Change control tools 99 531
Change log 100 407 531
Change management plansystem 138
Change request(s)
See also Approved change request Requested change
approved 528
approved change requests review 528
change control board and 96
constructive change 384
corrective actions and 353
definition 531
as input 97
as output 85 136 140 225 247 253 284–285 307–308
370 378 385 408 413
preventive actions and 191 353
types of 92–93
updates 348
Charter See Project charter
Checklist analysis 325 531
Checklist(s) 254 See also Quality checklists
Checksheets 237 531
Claim 531
Claims administration 384 531
Closed procurements 389 531
Close Procurements process 354 461 531
inputs 388
outputs 389
overview 386–387
tools and techniques 388–389
Close Project or Phase process 63 460–461 531
inputs 102
outputs 103–104
overview 100–101
tools and techniques 102–103
Closing Process Group 418
definition 531
overview 57–58 459–460
processes in 61
CMMI® See Capability Maturity Model Integrated
Code of accounts 132 531
Code of Ethics and Professional Conduct 1
Collaboration
project manager and 48 91 128 307
virtual collaboration techniques 25
Collective bargaining agreements 203 268
Collect Requirements process 105 430 531
inputs 113
outputs 117–119
overview 110–112
tools and techniques 114–117
Colocated teams 25 277 532
See also Project team(s) Team
Commercial information published 204
Communication
See also Control Communications process
activity dimensions of 287
channels 81 176 292 293 294
constraints 532
correspondence 386
diverse stakeholders and 287
informal 274 282
methods 294–295 407 532
models 293–294 298 300 532
organizational 20
project 301 305
skills 288
styles 21
technology 38 292–293 300
Communication planning
See also Plan Communications process Project
Communications Management
Communication requirements analysis 291–292 532
Communications management plan 296–297 532
as input 299 406
Communication technologies 38 292–293 300 532
See also Email Web conferencing
Competency 264
Compliance 267 532
Composite organization 25 26
Concurrent project phases 42
Conduct Procurements process 354 449 532
inputs 373–375
outputs 377–379
overview 371–373
tools and techniques 375–377
Confidentiality 293
Configuration control 96
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Configuration management plan 138
Configuration management system
change requests and 96
definition 532
Configuration status accounting 97
Configuration verification and audit 97
Conflict management 282–283 532
Conformance 235 532
Conformance work 533
Constraints 5 124 168 365 533
Context diagrams 117 533
Contingency 533
Contingency allowance See Reserve
Contingency plan 348
Contingency reserve 171 206 213 348 533
See also Reserve analysis
Contingent response strategies 346 533
Continuous distributions 337
Continuous improvement 229
Contract(s) 533
See also Time and Material Contract (T&M)
Union laborcontracts
amendments to 381
closure of 366 373 381
communications and 386
costreimbursable 363–364 535
documentation 389
early termination of 387
legal implications of 203 357 380 387
procurement contract 357
procurement negotiations and 375
requirements of 96 282 384
termination clause 378 380
terms and conditions 387
types of 362–363
Contract change control system 383 533
Contract management 355
Contractor See Seller(s)
Contractor conferences See Bidder conferences
Control 88 533
Control account (CA) 132 533
Control chart 238 533
Control Communications process 287 456–457 533
inputs 304–306
outputs 307–308
overview 303–304
tools and techniques 306–307
Control Costs process 193 455 534
inputs 216–217
outputs 225–226
overview 215–216
tools and techniques 217–225
Control limits 534 See also Specification limits
Control Procurements process 354 458 534
inputs 381–382
outputs 384–386
overview 379–381
tools and techniques 383–384
Control Quality process 227 456 534
inputs 250–251
outputs 252–254
overview 248–250
tools and techniques 252
Control Risks process 309 457 534
inputs 350–351
outputs 353–354
overview 349–350
tools and techniques 351–352
Control Schedule process 141 454–455 534
inputs 187–188
outputs 190–192
overview 184–187
tools and techniques 188–190
Control Scope process 105 454 534
inputs 137–138
outputs 139–140
overview 136–137
tools and techniques 139
Control Stakeholder Engagement process 391 458–459 534
inputs 411–412
outputs 413–415
overview 409–410
tools and techniques 412–413
Control thresholds 148 199
COQ See Cost of quality
Corrective action 81
change request for 85 93 353
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Correspondence 386
Cost(s) See also Actual cost
aggregation of 211 534
indirect 202 207 218 365
and time objectives 341
Cost aggregation 211 534
Cost baseline 191 216 226 233 534
as output 212–214 385
updates 347
Costbenefit analysis 235 535
Cost contingency reserve 207 349
Cost control See Control Costs process
Cost estimating See Estimate Costs process
Cost forecasts 89 225
Cost management See Project Cost Management
Cost management plan 216 226 534
as input 202 209 321 335
updates 347
Cost of quality (COQ) 206 229 231 235 535
Cost performance index (CPI) 89 219 535
Cost performance measurements 222
Cost Plus Award Fee contract (CPAF) 364 535
Costplus contract 344
Cost Plus Fixed Fee (CPFF) contract 364 535
Cost Plus Incentive Fee (CPIF) contract 364 535
Costreimbursable contracts 363–364 535
Cost risk simulation 340
Cost variance (CV) 89 218–219 535
CPAF See Cost Plus Award Fee contract
CPFF See Cost Plus Fixed Fee
CPI See Cost performance index
CPIF See Cost Plus Incentive Fee (CPIF) contract
CPM See Critical path method
Crashing 181 190 535
Create WBS process 105 431 535
inputs 127
outputs 131–132
overview 125–126
tools and techniques 128–131
Criteria 536
Critical chain 178
Critical chain method (CCM) 142 178 188 536
Critical path 176 536
Critical path activity 177 536
Critical path method (CPM) 142 176–177 188 246 536
Cultural diversity
crosscultural considerations 290
multinational team 294
projects characterized by 274
recognition and rewards 277
Culture See Organizational culture
Customer(s)
definition 536
external 70 380
in project team 36
request 9
requirements 228
users and 32
Customer satisfaction 229 536
CV See Cost variance
D
Data date 536
Data gathering and representation techniques 536
interviewing 336
probability distributions 337
Decision making
business case and 69
effective 284
quantitative risk information and 333 441
Decisionmaking skills 284
Decision tree analysis 339 536
Decodingencoding of messages 293–294
Decomposition 112 536
excessive 131
into work packages 120–131 128
Dedicated project team 37
Defect(s) 3
definition 536
identification of 237
number of 59 85 228
prevention of 229 243
Defect repair 81
change request for 82 85 93 97 140
definition 536
quality audits and 247
Define Activities process 141 432 536574 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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inputs 150–151
outputs 152–153
overview 149–150
tools and techniques 151–152
Define Scope process 105 430 537
inputs 121–122
outputs 123–124
overview 120–121
tools and techniques 122–123
Deliverable(s) See also Result Verified deliverables
accepted 102 135 389 526
definition 84 123 537
as input 251
as output 84
validated 566
verified 134 135
Delphi technique 171 207 324 537
Dependency See Logical relationship
Dependency determination 537
discretionary dependencies 158
external dependencies 158
internal dependencies 158
mandatory dependencies 157 545
Design of experiments (DOE) 239–240 537
Determine Budget process 193 437 537
inputs 209–211
outputs 212–214
overview 208–209
tools and techniques 211–212
Develop Project Charter process 63 426 537
inputs 68–70
outputs 71–72
overview 66–68
tools and techniques 71
Develop Project Management Plan process 63 429 537
inputs 74–75
outputs 76–78
overview 72–74
tools and techniques 76
Develop Project Team process 255 447 537
inputs 274–275
outputs 278–279
overview 273–274
tools and techniques 274–278
Develop Schedule process 141 434–435 537
inputs 175–176
outputs 181–184
overview 172–174
tools and techniques 176–180
Diagramming techniques 325–326 537
Dictatorship 115 537
Direct and Manage Project Work process 63 445–446 538
inputs 82–83
outputs 84–86
overview 79–81
tools and techniques 83–84
Discounted cash flow 195 198
Discrete effort 538
Discretionary dependencies 158 538
Diversity See Cultural diversity
Document(s) See also Project documents
analysis of 117 538
archival of 460
management hardcopy 300
phase closure 104
Documentation See also Requirements documentation
lessons learned 254 303 389 409 415
reviews 324 538
seller performance evaluation 382
technical 348
written 386
DOE See Design of experiments
DU or DUR See Duration
Duration (DU or DUR) 538 See also Most likely duration
Optimistic duration Pessimistic duration
Duration estimates See Activity duration estimates
Estimate Activity Durations process
E
EAC See Estimate at completion
EAC forecasts 220–221
Early Finish date (EF) 538
Early Start date (ES) 538
Earned value (EV) 132 218 219 538
analysis 224 351
Earned value management (EVM) 92 149 189
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definition 538
reports 96
work packages control accounts and 217–219
Earned value performance 223
EF See Early Finish date
Effort 538
Emotional intelligence 538
Employees See also Human resource management plan
Staffing management plan
morale of 266 274
motivation of 273 447
virtual teams and 271
EMV See Expected Monetary Value (EMV) analysis
Encodingdecoding of messages 293–294
Enterprise environmental factors 29 127 539
examples of 146 151 155 169 197 203–204 234
as input 70 74–75 82 90 98 108 163 176 259 269
291 299 324 330 335 362 395 401
updates 279 285
Environmental consideration 9
ES See Early Start date
Escalation procedures 259
Estimate 376 539 See also Analogous estimating Basis of
estimates Independent estimates Parametric estimating
Threepoint estimate
Estimate Activity Durations process 141 433–434 539
inputs 167–169
outputs 172
overview 165–167
tools and techniques 169–171
Estimate Activity Resources process 141 433 539
inputs 162–163
outputs 165
overview 160–162
tools and techniques 164
Estimate at completion (EAC) 89 199 220–221 539
Estimate Costs process 193 436 539
inputs 202–204
outputs 207–208
overview 200–202
tools and techniques 204–207
Estimate to complete (ETC) 89 219–220 539
ETC See Estimate to complete
EV See Earned value
EVM See Earned value management
Execute 539
Executing Process Group 418 444–445
definition 539
overview 56
processes in 61
Expected Monetary Value (EMV) analysis 339 539
Expert judgment 76 91 98–99 109 122 128 147 152
164 169 198 204 211 263 306–307 315 327 333
341 346 365 376 397–398 401–402 412 539
External dependencies 158 540
F
Facilitated workshops 114 123 540
Facilitation techniques 71 76
Failure costs 235
Failure mode and effect analysis (FMEA) 92 540
Fallback plan 343 348 540
Fast tracking techniques 43 147 158 181 190 540
Fault tree analysis (FTA) 92
Fee 540
Feeding buffers 178
FF See Finishtofinish
FFP See Firmfixedprice contract
Final product service or result transition 103
Finish date 540
Finishtofinish (FF) 154 156 540
Finishtostart (FS) 154 156 540
Firm Fixed Price contract (FFP) 363 540
Fishbone diagram 236 325 See also Causeandeffect
diagram
Fixed formula method 540
Fixedprice contracts 362–363 540
Fixed Price Incentive Fee contract (FPIF) 363 541
Fixed Price with Economic Price Adjustment contracts (FPEPA)
363 541
Float See Free float Total float
Flowcharts 236 541
FMEA See Failure mode and effect analysis
Focus groups 114 278 402 412 541
Force field analysis 240
Forecast(s)
cost 89 225576 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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definition 541
schedule 89 561
Forecasting methods 92 220–221
Forming storming norming performing adjourning 276
FPEPA
See Fixed Price with Economic Price Adjustment contract
FPIF See Fixed Price Incentive Fee contract
FPP See Firm Fixed Price contracts
Fragment network See Subnetwork
Framework for standard 418–419
Free float 177 541
FS See Finishtostart
FTA See Fault tree analysis
Fully plandriven life cycles See Predictive life cycle
Functional manager 33 541
Functional organization 22 541
Function points 250
Funding limit reconciliation 212 542
Funding requirements 214
G
Gantt chart 182 542
Globalizationglobal environment
cultural diversity and 274
cultural influences and 21
international factors 272
Governance See also Project governance
organizational 13
project 34–35 553
Government jurisdictions 376 See also Regulatory bodies
Government regulations 68 267
Grade of productsservices 228 542
Graphical analysis techniques 223
Ground rules project team 277 542
Group creativity techniques 115 542
Group decisionmaking techniques 115–116 135 171 207 542
Grouping methods 91
Guideline 542
H
Hammock activity 182 See also Summary activity
Hard logic 157 See also Mandatory dependency
Hierarchicaltype organization charts 261
Highlevel plan 45 316
Highlevel projectproduct description 72 108 121 314
Highlevel requirements 55 71 117 314 425
Highlevel vision 45 121
Highperformance teams 278
Histograms 238 265–266 340 542
Historical information 104 542
Historical relationships 212
Human resource management plan 264–267 542
as input 202 269 274 281 322
roles and responsibilities 264
updates 347
Human resource requirements
See Staffing management plan
I
ID See Activity identifier
Ideamind mapping 115 542
Identified risks list of 327
Identify Risks process 309 440 542
inputs 320–324
outputs 327
overview 319–321
tools and techniques 324–327
Identify Stakeholders process 391 426 543
inputs 394–395
outputs 398
overview 394–395
tools and techniques 395–398
IFB See Invitation for bid
Imposed date 543
Incentive fee 543
Incremental life cycle 543
Independent estimates 376 543
Indirect costs 202 207 218 365
Inflation allowance 202 207
Influence diagram 325–326 543
Influenceimpact grid stakeholder analysis 396
Influencing skills 284
Information See also Documentation Project information
confidentialitysensitivity of 293
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urgency of need for 292
Information gathering techniques 324–325 543
Information management systems 300 306 412 543
See also Project management information system
Information storage and retrieval
See Corporate knowledge base
Initiating Process Group 418 543
overview 54–55 424–425
processes in 61
project boundaries and 54
Input 543 See also specific process
Inspection(s) 135
audits and 383 543
description of 252
Integrated change control
See Perform Integrated Change Control process
Interactive communication 295
Internal dependencies 158
International Organization for Standardization
(ISO) 228 418
Interpersonal skills 17–18 283–284 407
communication skills 288
decision making 284
definition 544
influencing 284
leadership 284
as soft skills 275
Interrelationship diagraphs 245 544
Interviews 114 325 336 544
Invitation for bid (IFB) 368 544
IPECC 231
Ishikawa diagrams 236 325
ISO See International Organization for Standardization
Issue 310 544
Issue log 544
as input 281 305 411
as output 408 414
Iterative and incremental life cycles 45–46
Iterative life cycle 121 544
J
JAD
See Joint Application Development (or Design) (JAD)sessions
Joint Application Development (or Design) (JAD) sessions 114
Joint venture 19 37 347
Judgment See Expert judgment
K
Key performance indicators (KPIs) 84
Knowledge Areas
mapping of 422–423
Process Groups and 61
Project Communications Management 289–290 553
Project Cost Management 192–195 553
Project Human Resource Management 255–257 554
Project Integration Management 63–65 554
Project Procurement Management 355–358 555
Project Quality Management 227 555
Project Risk Management 309–312 555
Project Scope Management 105 555
Project Time Management 142 556
role of 60
Knowledge base lessons learned 151 544
KPIs See Key performance indicators
L
Lag(s) 180
adjusting 190 527
applying 528
definition 159 544
example of 158
Late finish date (LF) 544
Late start date (LS) 544
Leadership skills 284
Lead(s) 180
adjusting 190 527
applying 528
definition 544
example of 158
Lean Six Sigma 229
Legal requirements 9 31
contractual obligations 203 361 380 387
Lessons learned 259
definition 544
documentation 254 303 389 409 415578 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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knowledge base 151 544
Leveling See Resource leveling
Level of accuracy 148 199
Level of effort (LOE) 153 545
Level of precision 199
LF See Late finish date
Life cycle See Incremental life cycle Iterative life cycle
Predictive life cycle Product life cycle Project life cycle
LOE See Level of effort
Log 545 See also Issue log
Logical relationship 154 159 545
See also Precedence relationship
LS See Late start date
M
Majority 115 545
Makeorbuy analysis 360 365 545
Makeorbuy decisions 370 545
as input 374
Manage Communications process 287 448 545
inputs 299–300
outputs 300–303
overview 297–299
tools and techniques 300–301
Management See also Portfolio management Program
management Project management Project Quality
Management
responsibility 229
skills 408 545
Management reserve 171 206 213 545
See also Reserve
Manage Project Team process 255 448 545
inputs 280–281
outputs 284–285
overview 279–280
tools and techniques 282–284
Manager(s) See also Project manager
functional 33 541
program 14
Manage Stakeholder Engagement process 391 449–450 545
inputs 406–407
outputs 408–409
overview 404–406
tools and techniques 407–408
Mandatory dependency 157 545
Market research 365 546
Master schedule 546 See also Schedule
Material 546
Matrixbased responsibility charts 262
Matrix diagrams 246 546
Matrix organization(s) 21 22–24 546
Meetings 307 352 398 402
change control board and 99
participants in 109 148 198 241
potential bidders and 366
projectrelated 295
risk management and 316
status review 297 352 413
types of 84 92 103
war room for 277
Methodology 546
Metrics See Quality metrics
Milestone See also Weighted milestone method
closure of phase 41
definition 546
zero duration of 153
Milestone charts 182 183
Milestone list 546
as input 155
as output 153
Milestone schedule 546 See also Master schedule
Mind mapping 115 542
Mitigation See Risk mitigation
Modeling
simulation and 340
techniques 180 189
Monitor 546
Monitor and Control Project Work process 63 452 546
inputs 88–91
outputs 92–94
overview 86–88
tools and techniques 91–92
Monitoring and Controlling Process Group 418 546
as background process 50
overview 57 450–451
processes in 61
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Monte Carlo simulation 171 340 547
Most likely duration 547 See also Duration
Multicriteria decision analysis 115 271–272 547
Multiphase projects 51 57 69 387 419 451
N
Nearcritical activity 547
Negative risks 203 310 311 344–345
Negotiated settlements 547
Negotiation 547
invitation for 368
procurement 377
staff assignments and 270
Network See Project schedule network diagram
Network analysis See Schedule network analysis
Networking 263 547
Network logic 547
Network path 547
Network schedule analysis activity 176
Node 547
Nominal group technique 115 171 207 240 547
Nonconformance 229
cost of 235
work 548
O
Objective 548
OBS See Organizational breakdown structure
Observations 116 282 548
Operational stakeholders 13–14
Operations management 12
OPM See Organizational Project Management
OPM3® See Organizational Project Management Maturity Model
Opportunities 345–346 548
Optimistic duration 548 See also Duration
Organization(s)
project management and 14–15
Organizational breakdown structure (OBS) 245 261 548
Organizational characteristics 21–26
Organizational charts 131 258 292
Organizational culture See also Cultural diversity
project team composition and 37
styles and 20–21
Organizational groups 33
Organizational knowledge base See Corporate knowledge base
Organizational procedures links 148 199
Organizational process assets 23–24
corporate knowledge base 28
definition 548
examples of 147 151 156 163 169 217 234 251
as input 70 75 83 91 98 102 109 122 127 139 188
197 204 211 259 281 291 299–300 306 324 330
336 362 375 395 401 407
processes and procedures 27–28
updates 103 140 192 226 248 254 285 302–303 308
354 389 409 415
Organizational project management (OPM) 7
Organizational project management maturity 548
Organizational strategy
project management operations management and 11
project management and 15
Organizational structures 21–26
composite organization 26
functional organization 22
interactions and 26
matrix organizations 22–24
overlapping project phases 43–44
projectized organization 25
projectrelated characteristics 21
reporting relationships and 17
Organizational theory 263
Organization charts and position descriptions 261–262
hierarchicaltype charts and 261
matrixbased charts 262
textoriented formats 262
Output(s) 548
Overlapping project phases 43
P
Parametric estimating 170 205 548
Pareto diagram 237 548
Path convergence 548
Path divergence 548
Payment systems 383 548
PBOs See Projectbased organizations (PBOs)580 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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PDCA See Plandocheckact (PDCA) cycle
PDM See Precedence Diagramming Method
PDPC See Process Decision Program Charts (PDPC)
Percent complete 549
Performance appraisals 282
Performance measurement baseline (PMB) 302 549
Performance reporting 300 383
See also Work performance reports
Performance reviews 188–189 222–223 549
procurement 383 552
Performing organization 549 See also Seller(s)
Perform Integrated Change Control process 63 452–453 549
inputs 97–98
outputs 99–100
overview 94–97
tools and techniques 98–99
Perform Qualitative Risk Analysis process 309 440–441 549
inputs 329–330
outputs 333
overview 328–329
tools and techniques 330–333
Perform Quality Assurance process 227 446 549
inputs 244–245
outputs 247–248
overview 242–244
tools and techniques 245–247
Perform Quantitative Risk Analysis process 309 441 549
inputs 335–336
outputs 341
overview 333–335
tools and techniques 336–341
Personnel assessment tools 278
PERT See Program Evaluation and Review Technique
Pessimistic duration 549 See also Duration
Phase See Project phase(s)
Phase closure 104 See also Close Project or Phase process
Phase gate 41 549
Phasetophase relationships 42–44
overlapping relationship 43
sequential relationship 42
Plan Communications Management process 287 439 549
inputs 290–291
outputs 296–297
overview 289–290
tools and techniques 291–295
Plan Cost Management process 193 435–436 550
inputs 196–197
outputs 198–200
overview 195–196
tools and techniques 198
Plandocheckact (PDCA) cycle 229
Plan Human Resource Management process 255 438 550
inputs 259–260
overview 258–259
tools and techniques 261–264
Planned risk responses 104 347–348
Planned value (PV) 218 219 550
Planning package 132 550 See also Control account
Planning Process Group 418 550
overview 55–56 427–428
processes in 61
Plan Procurement Management process 354 442–443 550
inputs 360–364
outputs 366–370
overview 358–360
tools and techniques 355–356
Plan Quality Management process 227 437–438 550
inputs 233–234
outputs 241–242
overview 230–233
tools and techniques 235–241
Plan Risk Management process 309 430 550
inputs 314–315
outputs 316–318
overview 313–314
tools and techniques 315–316
Plan Risk Responses process 309 442 550
inputs 343
outputs 346–347
overview 342–343
tools and techniques 343346
Plan Schedule Management process 141 431 550
inputs 146–147
outputs 148–149
overview 145–146
tools and techniques 147–148
Plan Scope Management process 105 429 550
inputs 108–109581©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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outputs 109–110
overview 107–108
tools and techniques 109
Plan Stakeholder Management process 391 443 550
inputs 400–401
outputs 403–404
overview 399–400
tools and techniques 401–403
Plurality 115 550
PM See Project manager
PMB See Performance measurement baseline PV baseline
PMIS See Project Management Information System
PMO See Project management office
Policy 550
Portfolio 551
Portfolio management 551
Positive risks 311 345–346
Powerinfluence grid stakeholder analysis 396
Powerinterest grid stakeholder analysis 396
Preassignment of team members 270
Prebid conferences See Bidder conferences
Precedence Diagramming Method (PDM) 156–157 246 551
Precedence relationship 156–157 551
See also Logical relationship
Precision 228 551
Predecessor activity 156 158–159 180 551
Predictive life cycle 44–45 551
Preferential logic 158 See also Discretionary dependencies
Presentations 302 409 415
Prevention 229 250
Preventive action 81 551
change request for 93 191 353
characteristics of 85
Prioritization matrices 246 551
Probabilistic analysis of project 341
Probability and impact matrix 318 331–332 551
Probability distributions 337
Procedure 551
Process analysis 247 552
Process assets See Organizational process assets
Process closure See Closing Process Group
Process Decision Program Charts (PDPC) 245 552
Process(es)
definition 551
descriptions of 50 149 200
Processes and procedures 27–28
See also specific process or procedure
Process flow charts 325
Process flow diagram 419–420
Process Groups
categories of 48–49
Closing Process Group 57–58
Executing Process Group 56
Initiating Process Group 54–55
interactions of 51 420–421
Knowledge Areas mapping and 61
Monitoring and Controlling Process Group 57
as overlapping activities 51
overview 5 52–53
Planning Process Group 55–56
Process improvement models 229
Process improvement plan 552
as input 244
as output 241
Process interactions
See Project management process interactions
Procurement audits 388 552
Procurement documents 552
as input 323 373 382 388 394
as output 368
procurement contract 357 380
Procurement file 389
Procurement management plan 552
as input 373
as output 366–367 385
updates 347
Procurement negotiations 377 388
Procurement performance reviews 383 552
Procurement statement of work 552
as input 374
as output 367
Product 552
Product analysis 122 552
Product life cycle 552
Productoriented processes 47–48
Product quality improvement 229
Product requirements 64 106 114 115 118 227
Product scope 105 552582 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
INDEX
Product scope description 68 123 552
Program(s) 553
Program Evaluation and Review Technique (PERT) 170
246 553
Program management
definition 553
description of 9
OPM and 6
portfolio management and 6–7
project management and 6–7
Program manager 14
Progressive elaboration 5
definition 553
project management plan and 55
prototypes and 116
rolling wave planning as 151
Project(s)
boundaries 54 424
definition 3–4 417 553
portfolios programs and 4–5
temporary nature of 35
Projectbased organizations (PBOs) 14 553
Project boundaries 54 424
Project calendar 553
as input 188
as output 184
Project charter 553 See also Develop Project Charter process
authorization and 54 424
description of 67
as input 74 108 113 121 146 197 394
as output 71–72
project scope statement and 124
Project closure
documents 104 354
guidelines 75
Project communication requirements
See Communication requirements analysis
Project communications 301 305
Project Communications Management 287308
definition 553
overview 287–288
Project Cost Management 193226 553
Project documents See also Documents
as input 245 251 323 374 411–412
project management plan and 78
updates 86 94 100 125 132 136 140 160 165 172
185 191 208 214 226 242 248 285 297 302 308
333 341 354 370 379 385 404 409
Project execution See Executing Process Group
Project files 104
Project funding requirements 553
as input 217
as output 214
Project governance 34–35 553 See also Governance
Project Human Resource Management 255285 554
Project initiation 554
Project Integration Management 63104
definition 554
overview 63–65
Projectized organization 25 556
Project life cycle
adaptive life cycles 46
characteristics of 38–40
cost staffing levels and 39–40
definition 38 554
iterative and incremental life cycles 45–46
overview 38
predictive life cycles 44–45
project time and 39
Project management
business value and 16
definition 417 554
description of 5–6
iterative nature of 422
operational stakeholders in 13–14
operations management and 12
organizational governance and 13
organizational influences on 19
organizational strategy and 11 15
organizations and 14–15
Process Groups in 5
process interactions 50–51 53 422–423
Project management body of knowledge 554
Project management information system (PMIS) 57 58 92
151 155 460 554
Project Management Knowledge Areas 554
Project management office (PMO) 99 554
Project management plan 554 583©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
INDEX
See also Develop Project Management Plan process
components and project documents 78
cost control and 216
cost management plan and 196
elements of 146
as input 82 88–89 97 102 108 134 187 233 250 259
290 304–305 314 350 360 381 388 400 411
as output 76–77 140
progressive detailing of 55
schedule management plan and 142
scope control and 138
updates 85–86 93 100 140 184 191 225–226 248
253 272 284 302 308 346–347 353 379 385 408
413–414
Project management processes
categories of 48–49 418
interactions 50–51 53
mapping of 422–423
overview 47–49
Project Management Process Groups See also Process Groups
definition 554
and Knowledge Area Mapping 422–423
linked by outputs 419
Project management software 154 164 189 207 225
Project management staff 555
Project management system 555
Project management team 77 555
See also Project team(s)
Project management tools electronic 300
Project manager (PM)
definition 555
interpersonal skills 17–18
responsibilitiescompetencies 17
role of 12 16–17
Project objectives agreed upon 278
Project organization chart 265 555
Project performance appraisals 282
Project phases 41–46 555
overlapping of 43
overview 41–42
phasetophase relationships 42–44
sequential relationship 42–43
singlephase project 42
Project presentations 302 409 415
Project Procurement Management 355389
definition 555
overview 355–358
Project Quality Management 227254
See also Quality management plan
definition 555
overview 227–231
Project records 302 409 415
Project reports 302 409 415
Project requirements 112 118
Project risk 310
Project Risk Management 309354
definition 555
overview 309–312
Project schedule 191 555
development 142
as input 187 203 210 361
as output 182–184
presentation 142
Project schedule model
development 148
maintenance 148
Project schedule network diagram 182
definition 555
description of 159–160
as input 175
Project scope 105 555 See also Control Scope process
Define Scope process Verify Scope process
Project scope creep 108 See also Verify Scope process
Project Scope Management 105140 555
overview 105–106
Project scope statement 105 131 202 210 233
assumptions and constraints 168
contents of 360
definition 556
as input 127 155 175
as output 123–124
project charter and 124
Project sponsor 32
Project staff assignments
as input 175 275 281
as output 272
Project Stakeholder Management 391415
definition 556584 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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overview 391–392
Project stakeholders See Stakeholder(s)
Project statement of work See Statement of work
Project team(s)
colocation of 25 277 532
composition of 37–38
definition 556
influencing 256
multinational 294
preassignment of members 270
professional and ethical behavior 256
roles of members of 36
stakeholders and 30–31
virtual 25 38 271
Project team directory 556
Project Time Management 141192
definition 556
overview 141–144
Proposal(s) See Seller proposals
Proposal evaluation techniques 375 556
Proprietary rights 369
Prototypes 116 556
Pull communication 295
Push communication 295
PV See Planned value
PV baseline (PMB)
Q
QFD See Quality Function Deployment
Qualified seller list 386
Qualitative analysis 343
See also Perform Quantitative Risk Analysis process
Quality 228
See also Plan Quality process Seven basic quality tools
audits for 247 556
definition 556
Quality assurance See Perform Quality Assurance process
Quality audits 247 556 See also Audits
Quality checklists 556
as input 250
as output 242
Quality control measurements 556
as input 244
as output 252
Quality function deployment (QFD) 114 556
Quality management See Project Quality Management
Quality management and control tools 240 245–246 556
Quality management plan 557
See also Project Quality Management
as input 244 321
as output 241
updates 347
Quality management system 557
Quality metrics 557
as input 244 250
as output 242
Quality planning tools 527
See also Additional quality planning tools
Quality policy 557
Quality requirements 112 557
Quality standards See Standard
Quality tools See Seven basic quality tools
Quantified risks prioritized list of 341
Quantitative risk analysis and modeling techniques 338–340 557
expected monetary value (EMV) analysis 339
modeling and simulation 340
sensitivity analysis 338
Quantitative risk analysis results trends in 341
Questionnaires and surveys 116 557
R
RACI See Responsible accountable consult and inform
(RACI) chart
RAM See Responsibility assignment matrix
RBS See Resource breakdown structure
Risk Breakdown Structure
Rebaselining 444 See also Baseline
Recognition and rewards 266 277
Records project 302 409 415
Records management system 384 389 557
Regression analysis 91 103 557
Regulation 557
Regulatory bodies 398 402
See also Government regulations
Report(s)
information flow and 59585©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
INDEX
project 302 409 415
work performance 59 97
Reporting formats 149 200 318
Reporting systems 557
Requested change 558 See also Change requests
Request for information (RFI) 68 368 557
Request for proposal (RFP) 68 368 558
Request for quotation (RFQ) 368 558
Requirement(s) See also Product requirements
definition 558
types of 112
Requirements documentation 558
See also Collect Requirements process Contracts
as input 121 127 134 138 234 361
as output 117
Requirements management plan 110 113 138 558
Requirements traceability matrix 558
as input 134 138
as output 118–119
Reserve 558 See also Management reserve
Reserve analysis 92 171 206 211 225 352 558
See also Contingency reserve
Residual risk 350 558
Resolution of conflicts See Conflict management
Resource(s) 163 558
Resource assignments 182
Resource breakdown structure (RBS) 261 558
as input 168 175
as output 165
Resource calendars 558
as input 163 168 175 210 275
as output 272 378
staffing management plan and 265
Resource histogram 265–266 559
Resource leveling 179 559
Resource optimization techniques 179–180 189 559
Resource requirements See Activity resource requirements
Human resource requirements
Resource smoothing 180 559
Responsibility 264 316 559
Responsibility assignment matrix (RAM) 262 559
Responsible accountable consult and inform (RACI) chart 262
Result 559 See also Deliverable(s)
Result transition 103
Reviews See also Performance reviews Program Evaluation
and Review Technique
approved change requests 252 528
documentation 324 538
peer 252
procurement performance 383 552
product 135
risk 354
Rewards See Recognition and rewards
Rework 235 559
RFI See Request for information
RFP See Request for proposal
RFQ See Request for quotation
Risk 559 See also Negative risks Opportunities
Positive risks Threat(s)
Risk acceptance 345–346 559
Risk analysis See also Perform Qualitative Risk Analysis
process Perform Quantitative Risk Analysis process
Risk appetite 311 559
Risk audits 351 354 559
Risk avoidance 344 559
Risk breakdown structure (RBS) 245 317 324 560
Risk categorization 332 560
Risk category 317 560
Risk data quality assessment 332 560
Risk event 52 163 203 225
Risk identification See Identify Risks process
Risk impact See Probability and impact matrix
Risk management See also Project Risk Management
Risk management plan 560
See also Plan Risk Management process
as input 321 329 335 343
as output 316–318
Risk mitigation 345 560
Risk probability and impact 317 330
Risk reassessment 351 354 560
Risk register 191 330 560
identified risks list 327
as input 163 168 175 203 210 234 330 335 343
350 361
as output 185
potential responses list 327
updates 333 341
Risk responses 311 354 586 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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See also Plan Risk Responses process
Risk reviews 354
Risks secondary 343 348 562
Risk score 332
Risk threshold 311 560
Risk tolerance 311 329 560
Risk transference 344 560
Risk urgency assessment 332 560
Role(s) 264 316 560
Rolling wave planning 45 131 152 560
ROM See Rough order of magnitude
Root cause analysis 92 325 561
Rules of performance measurement 149 199
S
Safety 267
Salience model stakeholder analysis 396
Scatter diagram 238 561
Schedule 561
See also Master schedule Project schedule
Schedule model
Schedule baseline 191 196 233 561
See also Baseline schedule Control Schedule process
as output 181 385
updates 347
Schedule compression 190 561
Schedule compression techniques
crashing 181
fast tracking 158 181
Schedule control See Control Schedule process
Schedule data 142 191 561
as input 188
as output 184
Schedule development See Develop Schedule process
Schedule forecasts 561
as input 89
as output 190
Schedule management plan 142 561
See also Develop Schedule process criteria and activities
established by 148–149
as input 150 154 162 167 175 321 335
updates 191 347
Schedule model 142 561
Schedule network analysis 561 See also Backward pass
Critical chain method Critical path method Resource leveling
Schedule network templates 561
Schedule performance index (SPI) 89 149 189 219 561
Schedule variance (SV) 89 149 189 218 561
Scheduling
methods 142 151
overview 142 144
Scheduling software 158 177
Scheduling tool 181 190 561
Scope 562 See also Product scope Project scope
Scope baseline 101 138 146 196 562 See also Control
Scope process
elements of 233
as input 151 202–203 210 322 329
as output 131–132
updates 140 347
Scope change 48 562
Scope creep 137 562
Scope management plan 138 562
as input 113 121 127
as output 109–110
Scope statement See Project scope statement
Secondary risks 343 350 562
Selected sellers 377 562
Seller(s) 33 See also Buyerseller relationship
Project Procurement Management
definition 562
performancerelated documentation 382
prequalified 361
in project team 36
qualified seller list 386
selected 377 562
Seller performance evaluation documentation 382
Seller proposals
definition 562
as input 373
Sensitivity analysis 338 562
Sequence Activities process 141 432 562
inputs 154–156
outputs 159–160
overview 153–154
tools and techniques 156–159
Sequencing 154587©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Sequential relationship 42–43
Service level agreements (SLAs) 70
Seven basic quality tools (7QC Tools) 236–239 252 562
causeandeffect diagrams 236
checksheets 237
control charts 238
flowcharts 236
histograms 238
scatter diagrams 238
storyboard illustrating 239
SF See Starttofinish
Simulation 180 562
Singlephase project 42
SIPOC model 236 237
Slack See Free float Total float
SLAs See Service level agreements
Slippage 178
SMEs See Subject matter experts
Soft logic 158 See also Discretionary dependency
Soft skills 275
Software 306 See also Project management software
Scheduling software
Software development 116
grade and quality 228
subsystem interfaces 155
Solution requirements 112 118
Source selection criteria 368–369 373 563
SOW See Statement of work
Specification 563
Specification limits 563 See also Control limits
SPI See Schedule performance index
Sponsor 563 See Project sponsor
Sponsoring organization 563
SS See Starttostart
Staffing management plan 258–259 265267 563
See also Human resource management plan
Stage gate 41
Stakeholder(s) 30–33
See also Identify Stakeholders process Manage
Stakeholder Engagement process Project stakeholder
definition 563
engagement level of 402–403
examples of 33
expectations 31
external 34 54 371 424
internal 33 54 371 424
key 93 114 117 248 277 395
requirements 112 117
tolerances 318
Stakeholder analysis 395–397 563
Stakeholder management plan 563
as input 113 406
as output 403–404
Stakeholder notifications 302 409 415
Stakeholder register 563
as input 113 234 291 322 361 400
as output 398 414
Standard 563
Start date 564
Starttofinish (SF) 156 564
Starttostart (SS) 154 156 564
Statement of work (SOW) 68 367 564
Statistical sampling 240 252 564
Storyboarding 116 239 246
Strategic planning
organizational strategy and 11
statement of work and 68
Strengths weaknesses opportunities and threats
See SWOT analysis
Strong matrix organizations 24
Subcontractors 270
Subject matter experts (SMEs) 71 99 315 398
Subnetwork 564
Subproject 564
Subsidiary plans 77 88
Successor activity 156 158–159 180 564
Summary activity 564
Supplier See Seller(s)
Surveys 116 557
SV See Schedule variance
SWOT analysis 326 564
System or process flow charts 325
T
T&M See Time and Material Contract
Tailor 564
Tailoring 48 459588 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
INDEX
TCPI See Tocomplete performance index
Team See Colocated teams Develop Project Team process
Project management team Project team(s)
Teambased approaches 171 207
Teambuilding activities 276
Team performance assessments 278–279 281
Teamwork 274 See also Develop Project Team process
Technical documentation 382
Technical documentation updates 348
Technical performance measurement 352
Technique 564
Templates 564
Textoriented formats roles and responsibilities 262
Threat(s)
definition 564
strategies for 344–345
Threephase project 42–43
Threepoint estimate 170–171 205–206 565
Threshold 565
Time and Material Contract (T&M) 364 565
Time management See Project Time Management
Timescaled schedule network diagram 565
Tocomplete performance index (TCPI) 221–222 565
Tolerance 250 565
Tools 300 565 See also Seven basic quality tools
Tornado diagram 338 565
Total float 158 177 565
Total Quality Management (TQM) 229
TQM See Total Quality Management
Training 275
Training needs 266
Transition requirements 112 118
Tree diagram 245 565
Trend analysis 92 103 188 223 352 566
Triangular distribution 171 206
Trigger condition 566
Tuckman ladder of team development 276
U
Unanimity 115 566
Union laborcontracts 203 See also Contracts
Updates change request for 85
User(s)
customers and 32
in project team 36
V
VAC See Variance at completion
Validated changes 90 252
Validated deliverables 566
Validate Scope process 105 453 566
inputs 134–135
outputs 135–136
overview 133–134
tools and techniques 135
Validation 566
Value business 15–16
Value analysis 122 352
See also Expected Monetary Value (EMV) analysis
Value engineering 566
Variance 566
Variance analysis 92 139 189 222 352 566
Variance at completion (VAC) 566
Variation 566
Velocity 566
Vendor See Seller(s)
Vendor bid analysis 207
Vendor conferences See Bidder conferences
Verification 566
Verified deliverables 134
as input 135
as output 253
Virtual meetings 84
Virtual project teams
collaboration techniques and 25 38
virtual team model 271
VOC See Voice of the Customer
Voice of the Customer (VOC) 114 566
W
Watch list risks and 330 332 333 343 347–348 350
WBS See Work breakdown structure
WBS dictionary 105 132 202 210 233 360 567
WBS ID 153
Weak matrix organizations 22589©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
INDEX
Weighted milestone method 567
Whatif scenario analysis 180 567
Workaround 567
Work authorization 567
Work authorization system 146 567
Work breakdown structure (WBS) 105 202 210
See also Create WBS process
bottomup approach 129
contents of 360
definition 567
description of 132 233
hierarchicaltype charts and 261
topdown approach 129
Work breakdown structure component 567
Work packages 128 150 165 567
Work performance data 59 81 567
as input 135 139 187 217 251 305 351 382 411
as output 85
Work performance information 59 567
as input 90 382
as output 136 139 190 225 253 307 353 384 413
Work performance reports 59 567
as input 97 281 299 351 382
as output 93
Workshops See Facilitated workshops
Written documentation 386
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or other statement of compliance with any health or safetyrelated information in this document shall not be
attributable to PMI and is solely the responsibility of the certifier or maker of the statementI©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
TABLE OF CONTENTS
Table of Contents
1 Introduction 1
11 Purpose of the PMBOK® Guide 2
12 What is a Project 3
121 The Relationships Among Portfolios Programs and Projects 4
13 What is Project Management 5
14 Relationships Among Portfolio Management Program Management Project
Management and Organizational Project Management 7
141 Program Management 9
142 Portfolio Management 9
143 Projects and Strategic Planning 10
144 Project Management Office 10
15 Relationship Between Project Management Operations Management and
Organizational Strategy 12
151 Operations and Project Management 12
152 Organizations and Project Management 14
16 Business Value 15
17 Role of the Project Manager 16
171 Responsibilities and Competencies of the Project Manager 17
172 Interpersonal Skills of a Project Manager 17
18 Project Management Body of Knowledge 18
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE 19
21 Organizational Influences on Project Management 20
211 Organizational Cultures and Styles 20
212 Organizational Communications 21
213 Organizational Structures 21
214 Organizational Process Assets 27
215 Enterprise Environmental Factors 29II ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
TABLE OF CONTENTS
22 Project Stakeholders and Governance 30
221 Project Stakeholders 30
222 Project Governance 34
223 Project Success 35
23 Project Team 35
231 Composition of Project Teams 37
24 Project Life Cycle 38
241 Characteristics of the Project Life Cycle 38
242 Project Phases 41
3 PROJECT MANAGEMENT PROCESSES 47
31 Common Project Management Process Interactions 50
32 Project Management Process Groups 52
33 Initiating Process Group 54
34 Planning Process Group 55
35 Executing Process Group 56
36 Monitoring and Controlling Process Group 57
37 Closing Process Group 57
38 Project Information 58
39 Role of the Knowledge Areas 60
4 PROJECT INTEGRATION MANAGEMENT 63
41 Develop Project Charter 66
411 Develop Project Charter Inputs 68
412 Develop Project Charter Tools and Techniques 71
413 Develop Project Charter Outputs 71
42 Develop Project Management Plan 72
421 Develop Project Management Plan Inputs 74
422 Develop Project Management Plan Tools and Techniques 76
423 Develop Project Management Plan Outputs 76III©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
TABLE OF CONTENTS
43 Direct and Manage Project Work 79
431 Direct and Manage Project Work Inputs 82
432 Direct and Manage Project Work Tools and Techniques 83
433 Direct and Manage Project Work Outputs 84
44 Monitor and Control Project Work 86
441 Monitor and Control Project Work Inputs 88
442 Monitor and Control Project Work Tools and Techniques 91
443 Monitor and Control Project Work Outputs 92
45 Perform Integrated Change Control 94
451 Perform Integrated Change Control Inputs 97
452 Perform Integrated Change Control Tools and Techniques 98
453 Perform Integrated Change Control Outputs 99
46 Close Project or Phase 100
461 Close Project or Phase Inputs 102
462 Close Project or Phase Tools and Techniques 102
463 Close Project or Phase Outputs 103
5 PROJECT SCOPE MANAGEMENT 105
51 Plan Scope Management 107
511 Plan Scope Management Inputs 108
512 Plan Scope Management Tools and Techniques 109
513 Plan Scope Management Outputs 109
52 Collect Requirements 110
521 Collect Requirements Inputs 113
522 Collect Requirements Tools and Techniques 114
523 Collect Requirements Outputs 117
53 Define Scope 120
531 Define Scope Inputs 121
532 Define Scope Tools and Techniques 122
533 Define Scope Outputs 123IV ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
TABLE OF CONTENTS
54 Create WBS 125
541 Create WBS Inputs 127
542 Create WBS Tools and Techniques 128
543 Create WBS Outputs 131
55 Validate Scope 133
551 Validate Scope Inputs 134
552 Validate Scope Tools and Techniques 135
553 Validate Scope Outputs 135
56 Control Scope 136
561 Control Scope Inputs 138
562 Control Scope Tools and Techniques 139
563 Control Scope Outputs 139
6 PROJECT TIME MANAGEMENT 141
61 Plan Schedule Management 145
611 Plan Schedule Management Inputs 146
612 Plan Schedule Management Tools and Techniques 147
613 Plan Schedule Management Outputs 148
62 Define Activities 149
621 Define Activities Inputs 150
622 Define Activities Tools and Techniques 151
623 Define Activities Outputs 152
63 Sequence Activities 153
631 Sequence Activities Inputs 154
632 Sequence Activities Tools and Techniques 156
633 Sequence Activities Outputs 159
64 Estimate Activity Resources 160
641 Estimate Activity Resources Inputs 162
642 Estimate Activity Resources Tools and Techniques 164
643 Estimate Activity Resources Outputs 165V©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
TABLE OF CONTENTS
65 Estimate Activity Durations 165
651 Estimate Activity Durations Inputs 167
652 Estimate Activity Durations Tools and Techniques 169
653 Estimate Activity Durations Outputs 172
66 Develop Schedule 172
661 Develop Schedule Inputs 174
662 Develop Schedule Tools and Techniques 176
663 Develop Schedule Outputs 181
67 Control Schedule 185
671 Control Schedule Inputs 187
672 Control Schedule Tools and Techniques 188
673 Control Schedule Outputs 190
7 PROJECT COST MANAGEMENT 193
71 Plan Cost Management 195
711 Plan Cost Management Inputs 196
712 Plan Cost Management Tools and Techniques 198
713 Plan Cost Management Outputs 198
72 Estimate Costs 200
721 Estimate Costs Inputs 202
722 Estimate Costs Tools and Techniques 204
723 Estimate Costs Outputs 207
73 Determine Budget 208
731 Determine Budget Inputs 209
732 Determine Budget Tools and Techniques 211
733 Determine Budget Outputs 212
74 Control Costs 215
741 Control Costs Inputs 216
742 Control Costs Tools and Techniques 217
743 Control Costs Outputs 225VI ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
TABLE OF CONTENTS
8 PROJECT QUALITY MANAGEMENT 227
81 Plan Quality Management 231
811 Plan Quality Management Inputs 233
812 Plan Quality Management Tools and Techniques 235
813 Plan Quality Management Outputs 241
82 Perform Quality Assurance 242
821 Perform Quality Assurance Inputs 244
822 Perform Quality Assurance Tools and Techniques 245
823 Perform Quality Assurance Outputs 247
83 Control Quality 248
831 Control Quality Inputs 250
832 Control Quality Tools and Techniques 252
833 Control Quality Outputs 252
9 PROJECT HUMAN RESOURCE MANAGEMENT 255
91 Plan Human Resource Management 258
911 Plan Human Resource Management Inputs 259
912 Plan Human Resource Management Tools and Techniques 261
913 Plan Human Resource Management Outputs 264
92 Acquire Project Team 267
921 Acquire Project Team Inputs 269
922 Acquire Project Team Tools and Techniques 270
923 Acquire Project Team Outputs 272
93 Develop Project Team 273
931 Develop Project Team Inputs 274
932 Develop Project Team Tools and Techniques 275
933 Develop Project Team Outputs 278
94 Manage Project Team 279
941 Manage Project Team Inputs 281
942 Manage Project Team Tools and Techniques 282
943 Manage Project Team Outputs 284VII©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
TABLE OF CONTENTS
10 PROJECT COMMUNICATIONS MANAGEMENT 287
101 Plan Communications Management 289
1011 Plan Communications Management Inputs 290
1012 Plan Communications Management Tools and Techniques 291
1013 Plan Communications Management Outputs296
102 Manage Communications 297
1021 Manage Communications Inputs 299
1022 Manage Communications Tools and Techniques 300
1023 Manage Communications Outputs 301
103 Control Communications 303
1031 Control Communications Inputs 304
1032 Control Communications Tools and Techniques 306
1033 Control Communications Outputs 307
11 PROJECT RISK MANAGEMENT 309
111 Plan Risk Management 313
1111 Plan Risk Management Inputs 314
1112 Plan Risk Management Tools and Techniques 315
1113 Plan Risk Management Outputs 316
112 Identify Risks 319
1121 Identify Risks Inputs 321
1122 Identify Risks Tools and Techniques 324
1123 Identify Risks Outputs 327
113 Perform Qualitative Risk Analysis 328
1131 Perform Qualitative Risk Analysis Inputs 329
1132 Perform Qualitative Risk Analysis Tools and Techniques 330
1133 Perform Qualitative Risk Analysis Outputs 333
114 Perform Quantitative Risk Analysis 333
1141 Perform Quantitative Risk Analysis Inputs 335
1142 Perform Quantitative Risk Analysis Tools and Techniques 336
1143 Perform Quantitative Risk Analysis Outputs 341VIII ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
TABLE OF CONTENTS
115 Plan Risk Responses 342
1151 Plan Risk Responses Inputs 343
1152 Plan Risk Responses Tools and Techniques 343
1153 Plan Risk Responses Outputs 346
116 Control Risks 349
1161 Control Risks Inputs 350
1162 Control Risks Tools and Techniques 351
1163 Control Risks Outputs 353
12 PROJECT PROCUREMENT MANAGEMENT 355
121 Plan Procurement Management 358
1211 Plan Procurement Management Inputs 360
1212 Plan Procurement Management Tools and Techniques 365
1213 Plan Procurement Management Outputs 366
122 Conduct Procurements 371
1221 Conduct Procurements Inputs 373
1222 Conduct Procurements Tools and Techniques 375
1223 Conduct Procurements Outputs 377
123 Control Procurements 379
1231 Control Procurements Inputs 381
1232 Control Procurements Tools and Techniques 383
1233 Control Procurements Outputs 384
124 Close Procurements 386
1241 Close Procurements Inputs 388
1242 Close Procurements Tools and Techniques 388
1243 Close Procurements Outputs 389
13 PROJECT STAKEHOLDER MANAGEMENT 391
131 Identify Stakeholders 393
1311 Identify Stakeholders Inputs 394
1312 Identify Stakeholders Tools and Techniques 395
1313 Identify Stakeholders Outputs 398IX©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
TABLE OF CONTENTS
132 Plan Stakeholder Management 399
1321 Plan Stakeholder Management Inputs 400
1322 Plan Stakeholder Management Tools and Techniques 401
1323 Plan Stakeholder Management Outputs 403
133 Manage Stakeholder Engagement 404
1331 Manage Stakeholder Engagement Inputs 406
1332 Manage Stakeholder Engagement Tools and Techniques 407
1333 Manage Stakeholder Engagement Outputs 408
134 Control Stakeholder Engagement 409
1341 Control Stakeholder Engagement Inputs 411
1342 Control Stakeholder Engagement Tools and Techniques 412
1343 Control Stakeholder Engagement Outputs 413
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT 417
APPENDIX X1 FIFTH EDITION CHANGES 463
Appendix X2 Contributors and Reviewers of the PMBOK® Guide –
Fifth Edition 483
APPENDIX X3 INTERPERSONAL SKILLS 513
REFERENCES 521
Glossary 523
INDEX 569XI©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
List of TABLES and Figures
Figure 11 Portfolio Program and Project Management Interactions5
Figure 21 Functional Organization22
Figure 22 Weak Matrix Organization23
Figure 23 Balanced Matrix Organization24
Figure 24 Strong Matrix Organization24
Figure 25 Projectized Organization25
Figure 26 composite Organization26
Figure 27 the Relationship Between Stakeholders and the Project31
Figure 28 typical Cost and Staffing Levels Across a Generic Project Life Cycle Structure39
Figure 29 Impact of Variable Based on Project Time40
Figure 210 Example of a SinglePhase Project42
Figure 211 Example of a ThreePhase Project43
Figure 212 Example of a Project with Overlapping Phases43
Figure 213 Example of Predictive Life Cycle44
Figure 31 Project Management Process Groups50
Figure 32 Process Groups Interact in a Phase or Project51
Figure 33 Project Management Process Interactions53
Figure 34 Project Boundaries54
Figure 35 Project Data Information and Report Flow59
Figure 36 data Flow Diagram Legend60
Figure 41 Project Integration Management Overview65XII ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure 42 develop Project Charter Inputs Tools and Techniques and Outputs66
Figure 43 develop Project Charter Data Flow Diagram67
Figure 43 develop Project Charter Data Flow Diagram72
Figure 45 develop Project Management Plan Data Flow Diagram73
Figure 46 direct and Manage Project Work Inputs Tools and Techniques and Outputs79
Figure 47 direct and Manage Project Work Data Flow Diagram80
Figure 48 Monitor and Control Project Work Inputs Tools & Techniques and Outputs86
Figure 49 Monitor and Control Project Work Data Flow Diagram87
Figure 410 Perform Integrated Change Control Inputs Tools & Techniques and Outputs94
Figure 411 Perform Integrated Change Control Data Flow Diagram95
Figure 412 close Project or Phase Inputs Tools & Techniques and Outputs100
Figure 413 close Project or Phase Data Flow Diagram101
Figure 51 Project Scope Management Overview106
Figure 52 Plan Scope Management Inputs Tools & Techniques and Outputs107
Figure 53 Plan Scope Management Data Flow Diagram107
Figure 54 collect Requirements Inputs Tools & Techniques and Outputs111
Figure 55 collect Requirements Data Flow Diagram111
Figure 56 Example of a Requirements Traceability Matrix119
Figure 57 define Scope Inputs Tools & Techniques and Outputs120
Figure 58 define Scope Data Flow Diagram120
Figure 59 create WBS Inputs Tools & Techniques and Outputs125
Figure 510 create WBS Data Flow Diagram126XIII©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure 511 Sample WBS Decomposed Down Through Work Packages129
Figure 512 Sample WBS Organized by Phase130
Figure 513 Sample WBS with Major Deliverables130
Figure 514 Validate Scope Inputs Tools & Techniques and Outputs133
Figure 515 Validate Scope Data Flow Diagram133
Figure 516 control Scope Inputs Tools & Techniques and Outputs136
Figure 517 control Scope Data Flow Diagram137
Figure 61 Project Time Management Overview143
Figure 62 Scheduling Overview144
Figure 63 Plan Schedule Management Inputs Tools & Techniques and Outputs145
Figure 64 Plan Schedule Management Data Flow Diagram145
Figure 65 define Activities Inputs Tools & Techniques and Outputs149
Figure 66 define Activities Data Flow Diagram150
Figure 67 Sequence Activities Inputs Tools & Techniques and Outputs153
Figure 68 Sequence Activities Data Flow Diagram154
Figure 69 Precedence Diagramming Method (PDM) Relationship Types157
Figure 610 Examples of Lead and Lag158
Figure 611 Project Schedule Network Diagram160
Figure 612 Estimate Activity Resources Inputs Tools & Techniques and Outputs161
Figure 613 Estimate Activity Resources Data Flow Diagram161
Figure 614 Estimate Activity Durations Inputs Tools & Techniques and Outputs166
Figure 615 Estimate Activity Durations Data Flow Diagram166XIV ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure 616 develop Schedule Inputs Tools & Techniques and Outputs173
Figure 617 develop Schedule Data Flow Diagram173
Figure 618 Example of Critical Path Method177
Figure 619 Example of Critical Chain Method178
Figure 620 resource Leveling179
Figure 621 Project Schedule Presentations —Examples183
Figure 622 control Schedule Inputs Tools & Techniques and Outputs185
Figure 623 control Schedule Data Flow Diagram186
Figure 71 Project Cost Management Overview194
Figure 72 Plan Cost Management Inputs Tools & Techniques and Outputs195
Figure 73 Plan Cost Management Data Flow Diagram196
Figure 74 Estimate Costs Inputs Tools & Techniques and Outputs200
Figure 75 Estimate Costs Data Flow Diagram201
Figure 76 determine Budget Inputs Tools & Techniques and Outputs208
Figure 77 determine Budget Data Flow Diagram209
Figure 78 Project Budget Components213
Figure 79 cost Baseline Expenditures and Funding Requirements214
Figure 710 control Costs Inputs Tools & Techniques and Outputs215
Figure 711 control Costs Data Flow Diagram215
Figure 712 Earned Value Planned Value and Actual Costs219
Figure 713 toComplete Performance Index (TCPI)222XV©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure 81 Project Quality Management Overview230
Figure 82 Fundamental Relationships of Quality Assurance and Control Quality to the IPECC
PDCA Cost of Quality Models and Project Management Process Groups231
Figure 83 Plan Quality Management Inputs Tools & Techniques and Outputs232
Figure 84 Plan Quality Management Data Flow Diagram232
Figure 85 cost of Quality235
Figure 86 the SIPOC Model237
Figure 87 Storyboard Illustrating a Conceptual Example of Each of the Seven
Basic Quality Tools239
Figure 88 Perform Quality Assurance Inputs Tools & Techniques and Outputs243
Figure 89 Perform Quality Assurance Data Flow Diagram243
Figure 810 Storyboard Illustrating the Seven Quality Management and Control Tools246
Figure 811 control Quality Inputs Tools & Techniques and Outputs249
Figure 812 control Quality Data Flow Diagram249
Figure 91 Project Human Resource Management Overview257
Figure 92 Plan Human Resource Management Inputs Tools & Techniques and Outputs258
Figure 93 Plan Human Resource Management Data Flow Diagram258
Figure 94 roles and Responsibility Definition Formats261
Figure 95 rACI Matrix262
Figure 96 Illustrative Resource Histogram266
Figure 97 Acquire Project Team Inputs Tools & Techniques and Outputs267
Figure 98 Acquire Project Team Data Flow Diagram268XVI ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure 99 develop Project Team Inputs Tools & Techniques and Outputs273
Figure 910 develop Project Team Data Flow Diagram273
Figure 911 Manage Project Team Inputs Tools & Techniques and Outputs279
Figure 912 Manage Project Team Data Flow Diagram280
Figure 101 Project Communications Management Overview288
Figure 102 Plan Communications Management Inputs Tools & Techniques and Outputs289
Figure 103 Plan Communications Management Data Flow Diagram289
Figure 104 Basic Communication Model294
Figure 105 Manage Communications Inputs Tools & Techniques and Outputs297
Figure 106 Manage Communications Data Flow Diagram298
Figure 107 control Communications Inputs Tools & Techniques and Outputs303
Figure 108 control Communications Data Flow Diagram304
Figure 111 Project Risk Management Overview312
Figure 112 Plan Risk Management Inputs Tools & Techniques and Outputs313
Figure 113 Plan Risk Management Data Flow Diagram313
Figure 114 Example of a Risk Breakdown Structure (RBS)317
Figure 115 Identify Risks Inputs Tools & Techniques and Outputs319
Figure 116 Identify Risks Data Flow Diagram320
Figure 117 Influence Diagram326
Figure 118 Perform Qualitative Risk Analysis Inputs Tools & Techniques and Outputs328
Figure 119 Perform Qualitative Risk Analysis Data Flow Diagram328
Figure 1110 Probability and Impact Matrix331XVII©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure 1111 Perform Quantitative Risk Analysis Inputs Tools & Techniques and Outputs334
Figure 1112 Perform Quantitative Risk Analysis Data Flow Diagram334
Figure 1113 Range of Project Cost Estimates Collected During the Risk Interview336
Figure 1114 Examples of Commonly Used Probability Distributions337
Figure 1115 Example of Tornado Diagram338
Figure 1116 Decision Tree Diagram339
Figure 1117 Cost Risk Simulation Results340
Figure 1118 Plan Risk Responses Inputs Tools & Techniques and Outputs342
Figure 1119 Plan Risk Responses Data Flow Diagram342
Figure 1120 Control Risks Inputs Tools & Techniques and Outputs349
Figure 1121 Control Risks Data Flow Diagram349
Figure 121 Project Procurement Management Overview356
Figure 122 Plan Procurements Inputs Tools & Techniques and Outputs358
Figure 123 Plan Procurement Management Data Flow Diagram359
Figure 124 conduct Procurements Inputs Tools & Techniques and Outputs371
Figure 125 conduct Procurements Data Flow Diagram372
Figure 126 control Procurements Inputs Tools & Techniques and Outputs379
Figure 127 control Procurements Data Flow Diagram380
Figure 128 close Procurements Inputs Tools & Techniques and Outputs386
Figure 129 close Procurements Data Flow Diagram387
Figure 131 Project Stakeholder Management Overview392
Figure 132 Identify Stakeholders Inputs Tools & Techniques and Outputs393XVIII ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure 133 Identify Stakeholders Data Flow Diagram393
Figure 134 Example PowerInterest Grid with Stakeholders397
Figure 135 Plan Stakeholder Management Inputs Tools & Techniques and Outputs399
Figure 136 Plan Stakeholder Management Data Flow Diagram399
Figure 137 Stakeholders Engagement Assessment Matrix403
Figure 138 Manage Stakeholder Engagement Inputs Tools & Techniques and Outputs404
Figure 139 Manage Stakeholder Engagement Data Flow Diagram405
Figure 1310 Control Stakeholder Engagement Inputs Tools & Techniques and Outputs410
Figure 1311 Control Stakeholder Engagement Data Flow Diagram410
Figure A11 Process Group Interactions in a Project419
Figure A12 Project Management Process Interactions421
Figure A13 Project Boundaries425
Figure A14 Initiating Process Group425
Figure A15 develop Project Charter Inputs and Outputs426
Figure A16 Identify Stakeholders Inputs and Outputs426
Figure A17 Planning Process Group428
Figure A18 develop Project Management Plan Inputs and Outputs429
Figure A19 Plan Scope Management Inputs and Outputs429
Figure A110 Collect Requirements Inputs and Outputs430
Figure A111 Define Scope Inputs and Outputs430
Figure A112 Create WBS Inputs and Outputs431
Figure A113 Plan Schedule Management Inputs and Outputs431XIX©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure A114 Define Activities Inputs and Outputs432
Figure A115 Sequence Activities Inputs and Outputs432
Figure A116 Estimate Activity Resources Inputs and Outputs433
Figure A117 Estimate Activity Durations Inputs and Outputs434
Figure A118 Develop Schedule Inputs and Outputs435
Figure A119 Plan Cost Management Inputs and Outputs436
Figure A120 Estimate Costs Inputs and Outputs436
Figure A121 Determine Budget Inputs and Outputs437
Figure A122 Plan Quality Management Inputs and Outputs438
Figure A123 Plan Human Resource Management Inputs and Outputs438
Figure A124 Plan Communications Management Inputs and Outputs439
Figure A125 Plan Risk Management Inputs and Outputs439
Figure A126 Identify Risks Inputs and Outputs440
Figure A127 Perform Qualitative Risk Analysis Inputs and Outputs441
Figure A128 Perform Quantitative Risk Analysis Inputs and Outputs441
Figure A129 Plan Risk Responses Inputs and Outputs442
Figure A130 Plan Procurement Management Inputs and Outputs443
Figure A131 Plan Stakeholder Management Inputs and Outputs443
Figure A132 Executing Process Group445
Figure A133 Direct and Manage Project Work Inputs and Outputs446
Figure A134 Perform Quality Assurance Inputs and Outputs446
Figure A135 Acquire Project Team Inputs and Outputs447XX ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure A136 Develop Project Team Inputs and Outputs447
Figure A137 Manage Project Team Inputs and Outputs448
Figure A138 Manage Communications Inputs and Outputs448
Figure A139 Conduct Procurements Inputs and Outputs449
Figure A140 Manage Stakeholder Engagement Inputs and Outputs450
Figure A141 Monitoring and Controlling Process Group451
Figure A142 Monitor and Control Project Work Inputs and Outputs452
Figure A143 Perform Integrated Change Control Inputs and Outputs453
Figure A144 Validate Scope Inputs and Outputs453
Figure A145 Control Scope Inputs and Outputs454
Figure A146 Control Schedule Inputs and Outputs455
Figure A147 Control Costs Inputs and Outputs455
Figure A148 Control Quality Inputs and Outputs456
Figure A149 Control Communications Inputs and Outputs457
Figure A150 Control Risks Inputs and Outputs457
Figure A151 Control Procurements Inputs and Outputs458
Figure A152 Control Stakeholder Engagement Inputs and Outputs459
Figure A153 Closing Process Group460
Figure A154 Close Project or Phase Inputs and Outputs461
Figure A155 Close Procurements Inputs and Outputs461XXI©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
List of TABLES and Figures
Figure X11 refined Data Model467
Table 11 comparative Overview of Project Program and Portfolio Management8
Table 21 Influence of Organizational Structures on Projects22
Table 31 Project Management Process Group and Knowledge Area Mapping61
Table 41 differentiation Between the Project Management Plan and Project Documents78
Table 51 Elements of the Project Charter and Project Scope Statement124
Table 71 Earned Value Calculations Summary Table224
Table 111 definition of Impact Scales for Four Project Objectives318
Table A11 Project Management Process Group and Knowledge Area Mapping423
Table X11 Section 4 Changes472
Table X12 Section 5 Changes473
Table X13 Section 6 Changes474
Table X14 Section 7 Changes475
Table X15 Section 8 Changes476
Table X16 Section 9 Changes477
Table X17 Section 10 Changes478
Table X18 Section 11 Changes479
Table X19 Section 12 Changes480
Table X110 Section 13 Changes4811©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1
1 INTRODUCTION
Introduction
A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition provides guidelines
for managing individual projects and defines project management related concepts It also describes the project
management life cycle and its related processes as well as the project life cycle
The PMBOK® Guide contains the globally recognized standard and guide for the project management profession
(found in Annex A1) A standard is a formal document that describes established norms methods processes and
practices As with other professions the knowledge contained in this standard has evolved from the recognized
good practices of project management practitioners who have contributed to the development of this standard
The first two sections of the PMBOK® Guide provide an introduction to key concepts in the project management
field Section 3 summarizes the Process Groups and provides an overview of process interactions among the ten
Knowledge Areas and five Process Groups Sections 4 through 13 are the guide to the project management body of
knowledge These sections expand on the information in the standard by describing the inputs and outputs as well
as tools and techniques used in managing projects Annex A1 is the standard for project management and presents
the processes inputs and outputs that are considered to be good practice on most projects most of the time
This section defines several key terms and the relationship among portfolio management program management
project management and organizational project management An overview of the PMBOK® Guide is found within
the following sections
11 Purpose of the PMBOK® Guide
12 What is a Project
13 What is Project Management
14 Relationships Among Portfolio Management Program Management
Project Managementand Organizational Project Management
15 Relationship Between Project Management Operations Management
and Organizational Strategy
16 Business Value
17 Role of the Project Manager
18 Project Management Body of Knowledge
112 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
11 Purpose of the PMBOK® Guide
The acceptance of project management as a profession indicates that the application of knowledge processes
skills tools and techniques can have a significant impact on project success The PMBOK® Guide identifies that
subset of the project management body of knowledge that is generally recognized as good practice Generally
recognized means the knowledge and practices described are applicable to most projects most of the time and
there is consensus about their value and usefulness Good practice means there is general agreement that the
application of the knowledge skills tools and techniques can enhance the chances of success over many projects
Good practice does not mean that the knowledge described should always be applied uniformly to all projects the
organization andor project management team is responsible for determining what is appropriate for any given project
The PMBOK® Guide also provides and promotes a common vocabulary within the project management
profession for using and applying project management concepts A common vocabulary is an essential element of
a professional discipline The PMI Lexicon of Project Management Terms [1]1 provides the foundational professional
vocabulary that can be consistently used by project program and portfolio managers and other stakeholders
Annex A1 is a foundational reference for PMI’s project management professional development programs Annex
A1 continues to evolve along with the profession and is therefore not allinclusive this standard is a guide rather
than a specific methodology One can use different methodologies and tools (eg agile waterfall PRINCE2) to
implement the project management framework
In addition to the standards that establish guidelines for project management processes the Project Management
Institute Code of Ethics and Professional Conduct [2] guides practitioners of the profession and describes the
expectations that practitioners should hold for themselves and others The Project Management Institute Code
of Ethics and Professional Conduct is specific about the basic obligation of responsibility respect fairness and
honesty It requires that practitioners demonstrate a commitment to ethical and professional conduct It carries
the obligation to comply with laws regulations and organizational and professional policies Practitioners come
from diverse backgrounds and cultures and the Project Management Institute Code of Ethics and Professional
Conduct applies globally When interacting with any stakeholder practitioners should be committed to honest
responsible fair practices and respectful dealings Acceptance of the code is essential for project managers and is
a requirement for the following PMI® exams
• Certified Associate in Project Management (CAPM)®
• Project Management Professional (PMP)®
• Program Management Professional (PgMP)®
• PMI Agile Certified Practitioner (PMIACP)SM
• PMI Risk Management Professional (PMIRMP)®
• PMI Scheduling Professional (PMISP)®
1The numbers in brackets refer to the list of references at the end of this standard3©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1
1 INTRODUCTION
12 What is a Project
A project is a temporary endeavor undertaken to create a unique product service or result The temporary
nature of projects indicates that a project has a definite beginning and end The end is reached when the project’s
objectives have been achieved or when the project is terminated because its objectives will not or cannot be met
or when the need for the project no longer exists A project may also be terminated if the client (customer sponsor
or champion) wishes to terminate the project Temporary does not necessarily mean the duration of the project
is short It refers to the project’s engagement and its longevity Temporary does not typically apply to the product
service or result created by the project most projects are undertaken to create a lasting outcome For example a
project to build a national monument will create a result expected to last for centuries Projects can also have social
economic and environmental impacts that far outlive the projects themselves
Every project creates a unique product service or result The outcome of the project may be tangible or
intangible Although repetitive elements may be present in some project deliverables and activities this repetition
does not change the fundamental unique characteristics of the project work For example office buildings can
be constructed with the same or similar materials and by the same or different teams However each building
project remains unique with a different location different design different circumstances and situations different
stakeholders and so on
An ongoing work effort is generally a repetitive process that follows an organization’s existing procedures
In contrast because of the unique nature of projects there may be uncertainties or differences in the products
services or results that the project creates Project activities can be new to members of a project team which
may necessitate more dedicated planning than other routine work In addition projects are undertaken at all
organizational levels A project can involve a single individual or multiple individuals a single organizational unit or
multiple organizational units from multiple organizations
A project can create
• A product that can be either a component of another item an enhancement of an item or an end item
in itself
• A service or a capability to perform a service (eg a business function that supports production or
distribution)
• An improvement in the existing product or service lines (eg A Six Sigma project undertaken to reduce
defects) or
• A result such as an outcome or document (eg a research project that develops knowledge that can be
used to determine whether a trend exists or a new process will benefit society)4 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
Examples of projects include but are not limited to
• Developing a new product service or result
• Effecting a change in the structure processes staffing or style of an organization
• Developing or acquiring a new or modified information system (hardware or software)
• Conducting a research effort whose outcome will be aptly recorded
• Constructing a building industrial plant or infrastructure or
• Implementing improving or enhancing existing business processes and procedures
121 The Relationships Among Portfolios Programs and Projects
The relationship among portfolios programs and projects is such that a portfolio refers to a collection of projects
programs subportfolios and operations managed as a group to achieve strategic objectives Programs are grouped
within a portfolio and are comprised of subprograms projects or other work that are managed in a coordinated
fashion in support of the portfolio Individual projects that are either within or outside of a program are still considered
part of a portfolio Although the projects or programs within the portfolio may not necessarily be interdependent or
directly related they are linked to the organization’s strategic plan by means of the organization’s portfolio
As Figure 11 illustrates organizational strategies and priorities are linked and have relationships between
portfolios and programs and between programs and individual projects Organizational planning impacts
the projects by means of project prioritization based on risk funding and other considerations relevant to the
organization’s strategic plan Organizational planning can direct the management of resources and support for the
component projects on the basis of risk categories specific lines of business or general types of projects such as
infrastructure and process improvement5©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1
1 INTRODUCTION
Projects
Portfolio
Subportfolios
Programs
Subprograms
Projects
Projects
Projects
• Strategies and priorities
• Progressive elaboration
• Governance
• Disposition on requested changes
• Impacts from changes in other
portfolios programs or projects
• Strategies and priorities
• Progressive elaboration
• Governance
• Disposition on requested changes
• Impacts from changes in other
portfolios programs or projects
• Strategies and priorities
• Progressive elaboration
• Governance
• Disposition on requested changes
• Impacts from changes in other
portfolios programs or projects
• Performance reports
• Change requests with
impact on other portfolios
programs or projects
• Performance reports
• Change requests with
impact on other portfolios
programs or projects
• Performance reports
• Change requests with
impact on other portfolios
programs or projects
Programs
Subprograms
Projects
Projects
Figure 11 Portfolio Program and Project Management Interactions
13 What is Project Management
Project management is the application of knowledge skills tools and techniques to project activities to meet the
project requirements Project management is accomplished through the appropriate application and integration of
the 47 logically grouped project management processes which are categorized into five Process Groups These five
Process Groups are
• Initiating
• Planning
• Executing
• Monitoring and Controlling and
• Closing6 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
Managing a project typically includes but is not limited to
• Identifying requirements
• Addressing the various needs concerns and expectations of the stakeholders in planning and executing
the project
• Setting up maintaining and carrying out communications among stakeholders that are active effective
and collaborative in nature
• Managing stakeholders towards meeting project requirements and creating project deliverables
• Balancing the competing project constraints which include but are not limited to
○○ Scope
○○ Quality
○○ Schedule
○○ Budget
○○ Resources and
○○ Risks
The specific project characteristics and circumstances can influence the constraints on which the project
management team needs to focus
The relationship among these factors is such that if any one factor changes at least one other factor is likely
to be affected For example if the schedule is shortened often the budget needs to be increased to add additional
resources to complete the same amount of work in less time If a budget increase is not possible the scope or
targeted quality may be reduced to deliver the project’s end result in less time within the same budget amount
Project stakeholders may have differing ideas as to which factors are the most important creating an even greater
challenge Changing the project requirements or objectives may create additional risks The project team needs to
be able to assess the situation balance the demands and maintain proactive communication with stakeholders in
order to deliver a successful project
Due to the potential for change the development of the project management plan is an iterative activity and is
progressively elaborated throughout the project’s life cycle Progressive elaboration involves continuously improving
and detailing a plan as more detailed and specific information and more accurate estimates become available
Progressive elaboration allows a project management team to define work and manage it to a greater level of detail
as the project evolves7©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1
1 INTRODUCTION
14 Relationships Among Portfolio Management Program Management
Project Management and Organizational Project Management
In order to understand portfolio program and project management it is important to recognize the similarities
and differences among these disciplines It is also helpful to understand how they relate to organizational project
management (OPM) OPM is a strategy execution framework utilizing project program and portfolio management
as well as organizational enabling practices to consistently and predictably deliver organizational strategy producing
better performance better results and a sustainable competitive advantage
Portfolio program and project management are aligned with or driven by organizational strategies Conversely
portfolio program and project management differ in the way each contributes to the achievement of strategic goals
Portfolio management aligns with organizational strategies by selecting the right programs or projects prioritizing
the work and providing the needed resources whereas program management harmonizes its projects and program
components and controls interdependencies in order to realize specified benefits Project management develops
and implements plans to achieve a specific scope that is driven by the objectives of the program or portfolio it is
subjected to and ultimately to organizational strategies OPM advances organizational capability by linking project
program and portfolio management principles and practices with organizational enablers (eg structural cultural
technological and human resource practices) to support strategic goals An organization measures its capabilities
then plans and implements improvements towards the systematic achievement of best practices
Table 11 shows the comparison of project program and portfolio views across several dimensions within
the organization8 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
Table 11 Comparative Overview of Project Program and Portfolio Management
Organizational Project Management
Projects Programs Portfolios
Projects have defined
objectives Scope is progres
sively elaborated throughout the
project life cycle
Project managers expect change
and implement processes to
keep change managed and
controlled
Project managers progressively
elaborate highlevel information
into detailed plans throughout
the project life cycle
Project managers manage the
project team to meet the project
objectives
Success is measured by product
and project quality timeliness
budget compliance and degree
of customer satisfaction
Project managers monitor and
control the work of producing
the products services or results
that the project was undertaken
to produce
Programs have a larger scope
and provide more significant
benefits
Program managers expect
change from both inside and
outside the program and are
prepared to manage it
Program managers develop the
overall program plan and create
highlevel plans to guide
detailed planning at the
component level
Program managers manage the
program staff and the project
managers they provide vision
and overall leadership
Success is measured by the
degree to which the program
satisfies the needs and benefits
for which it was undertaken
Program managers monitor
the progress of program
components to ensure the
overall goals schedules budget
and benefits of the program will
be met
Portfolios have an organizational
scope that changes with the
strategic objectives of the
organization
Portfolio managers continuously
monitor changes in the
broader internal and external
environment
Portfolio managers create and
maintain necessary processes
and communication relative to
the aggregate portfolio
Portfolio managers may manage
or coordinate portfolio
management staff or program
and project staff that may have
reporting responsibilities into
the aggregate portfolio
Success is measured in terms
of the aggregate investment
performance and benefit
realization of the portfolio
Portfolio managers monitor
strategic changes and aggregate
resource allocation
performance results and risk
of the portfolio
Scope
Change
Planning
Management
Success
Monitoring9©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1 INTRODUCTION
141 Program Management
A program is defined as a group of related projects subprograms and program activities managed in a
coordinated way to obtain benefits not available from managing them individually Programs may include elements
of related work outside the scope of the discrete projects in the program A project may or may not be part of a
program but a program will always have projects
Program management is the application of knowledge skills tools and techniques to a program in order to
meet the program requirements and to obtain benefits and control not available by managing projects individually
Projects within a program are related through the common outcome or collective capability If the relationship
between projects is only that of a shared client seller technology or resource the effort should be managed as a
portfolio of projects rather than as a program
Program management focuses on the project interdependencies and helps to determine the optimal approach
for managing them Actions related to these interdependencies may include
• Resolving resource constraints andor conflicts that affect multiple projects within the program
• Aligning organizationalstrategic direction that affects project and program goals and objectives and
• Resolving issues and change management within a shared governance structure
An example of a program is a new communications satellite system with projects for design of the satellite and
the ground stations the construction of each the integration of the system and the launch of the satellite
142 Portfolio Management
A portfolio refers to projects programs subportfolios and operations managed as a group to achieve strategic
objectives The projects or programs of the portfolio may not necessarily be interdependent or directly related For
example an infrastructure firm that has the strategic objective of maximizing the return on its investments may
put together a portfolio that includes a mix of projects in oil and gas power water roads rail and airports From
this mix the firm may choose to manage related projects as one program All of the power projects may be grouped
together as a power program Similarly all of the water projects may be grouped together as a water program
Thus the power program and the water program become integral components of the enterprise portfolio of the
infrastructure firm10 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
Portfolio management refers to the centralized management of one or more portfolios to achieve strategic
objectives Portfolio management focuses on ensuring that projects and programs are reviewed to prioritize
resource allocation and that the management of the portfolio is consistent with and aligned to organizational
strategies
143 Projects and Strategic Planning
Projects are often utilized as a means of directly or indirectly achieving objectives within an organization’s
strategic plan Projects are typically authorized as a result of one or more of the following strategic considerations
• Market demand (eg a car company authorizing a project to build more fuelefficient cars in response
to gasoline shortages)
• Strategic opportunitybusiness need (eg a training company authorizing a project to create a new
course to increase its revenues)
• Social need (eg a nongovernmental organization in a developing country authorizing a project to provide
potable water systems latrines and sanitation education to communities suffering from high rates of
infectious diseases)
• Environmental consideration (eg a public company authorizing a project to create a new service for
electric car sharing to reduce pollution)
• Customer request (eg an electric utility authorizing a project to build a new substation to serve a new
industrial park)
• Technological advance (eg an electronics firm authorizing a new project to develop a faster cheaper and
smaller laptop based on advances in computer memory and electronics technology) and
• Legal requirement (eg a chemical manufacturer authorizing a project to establish guidelines for proper
handling of a new toxic material)
144 Project Management Office
A project management office (PMO) is a management structure that standardizes the projectrelated governance
processes and facilitates the sharing of resources methodologies tools and techniques The responsibilities of a
PMO can range from providing project management support functions to actually being responsible for the direct
management of one or more projects
There are several types of PMO structures in organizations each varying in the degree of control and influence
they have on projects within the organization such as11©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1 INTRODUCTION
• Supportive Supportive PMOs provide a consultative role to projects by supplying templates best
practices training access to information and lessons learned from other projects This type of PMO
serves as a project repository The degree of control provided by the PMO is low
• Controlling Controlling PMOs provide support and require compliance through various means
Compliance may involve adopting project management frameworks or methodologies using specific
templates forms and tools or conformance to governance The degree of control provided by the PMO
is moderate
• Directive Directive PMOs take control of the projects by directly managing the projects The degree of
control provided by the PMO is high
The PMO integrates data and information from corporate strategic projects and evaluates how higher level
strategic objectives are being fulfilled The PMO is the natural liaison between the organization’s portfolios
programs projects and the corporate measurement systems (eg balanced scorecard)
The projects supported or administered by the PMO may not be related other than by being managed together
The specific form function and structure of a PMO are dependent upon the needs of the organization that it
supports
A PMO may have the authority to act as an integral stakeholder and a key decision maker throughout the life
of each project to make recommendations or to terminate projects or take other actions as required to remain
aligned with the business objectives In addition the PMO may be involved in the selection management and
deployment of shared or dedicated project resources
A primary function of a PMO is to support project managers in a variety of ways which may include but are not
limited to
• Managing shared resources across all projects administered by the PMO
• Identifying and developing project management methodology best practices and standards
• Coaching mentoring training and oversight
• Monitoring compliance with project management standards policies procedures and templates by means
of project audits
• Developing and managing project policies procedures templates and other shared documentation
(organizational process assets) and
• Coordinating communication across projects12 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
Project managers and PMOs pursue different objectives and as such are driven by different requirements All
of these efforts are aligned with the strategic needs of the organization Differences between the role of project
managers and a PMO may include the following
• The project manager focuses on the specified project objectives while the PMO manages major program
scope changes which may be seen as potential opportunities to better achieve business objectives
• The project manager controls the assigned project resources to best meet project objectives while the
PMO optimizes the use of shared organizational resources across all projects
• The project manager manages the constraints (scope schedule cost quality etc) of the individual
projects while the PMO manages the methodologies standards overall risksopportunities metrics and
interdependencies among projects at the enterprise level
15 Relationship Between Project Management Operations Management
and Organizational Strategy
Operations management is responsible for overseeing directing and controlling business operations Operations
evolve to support the daytoday business and are necessary to achieve strategic and tactical goals of the business
Examples include production operations manufacturing operations accounting operations software support and
maintenance
Though temporary in nature projects can help achieve the organizational goals when they are aligned with the
organization’s strategy Organizations sometimes change their operations products or systems by creating strategic
business initiatives that are developed and implemented through projects Projects require project management
activities and skill sets while operations require business process management operations management activities
and skill sets
151 Operations and Project Management
Changes in business operations may be the focus of a dedicated project—especially if there are substantial
changes to business operations as a result of a new product or service delivery Ongoing operations are outside of
the scope of a project however there are intersecting points where the two areas cross
Projects can intersect with operations at various points during the product life cycle such as13©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1 INTRODUCTION
• At each closeout phase
• When developing a new product upgrading a product or expanding outputs
• While improving operations or the product development process or
• Until the end of the product life cycle
At each point deliverables and knowledge are transferred between the project and operations for implementation
of the delivered work This implementation occurs through a transfer of project resources to operations toward the
end of the project or through a transfer of operational resources to the project at the start
Operations are ongoing endeavors that produce repetitive outputs with resources assigned to do basically the
same set of tasks according to the standards institutionalized in a product life cycle Unlike the ongoing nature of
operations projects are temporary endeavors
1511 Operations Management
Operations management is a subject area that is outside the scope of formal project management as described
in this standard
Operations management is an area of management concerned with ongoing production of goods andor
services It involves ensuring that business operations continue efficiently by using the optimum resources needed
and meeting customer demands It is concerned with managing processes that transform inputs (eg materials
components energy and labor) into outputs (eg products goods andor services)
1512 Operational Stakeholders in Project Management
While operations management is different from project management (see 1511) the needs of stakeholders
who perform and conduct business operations are important considerations in projects that will affect their future
work and endeavors Project managers who consider and appropriately include operational stakeholders in all
phases of projects gain insight and avoid unnecessary issues that often arise when their input is overlooked
Operational stakeholders should be engaged and their needs identified as part of the stakeholder register and
their influence (positive or negative) should be addressed as part of the risk management plan14 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
The following list includes examples of operational stakeholders (depending upon the business)
• Plant operators
• Manufacturing line supervisors
• Help desk staff
• Production system support analysts
• Customer service representative
• Salespersons
• Maintenance workers
• Telephone sales personnel
• Call center personnel
• Retail workers
• Line managers and
• Training officers
152 Organizations and Project Management
Organizations use governance to establish strategic direction and performance parameters The strategic
direction provides the purpose expectations goals and actions necessary to guide business pursuit and is aligned
with business objectives Project management activities should be aligned with toplevel business direction and
if there is a change then project objectives need to be realigned In a project environment changes to project
objectives affect project efficiency and success When the business alignment for a project is constant the chance
for project success greatly increases because the project remains aligned with the strategic direction of the
organization Should something change projects should change accordingly
1521 ProjectBased Organizations
Projectbased organizations (PBOs) refer to various organizational forms that create temporary systems
for carrying out their work PBOs can be created by different types of organizations (ie functional matrix or
projectized (see 213)) The use of PBOs may diminish the hierarchy and bureaucracy inside the organizations as
the success of the work is measured by the final result rather than by position or politics
PBOs conduct the majority of their work as projects andor provide project rather than functional approaches PBOs
can refer to either entire firms (as in telecommunications oil and gas construction consultancy and professional
services) multifirm consortia or networks it is also possible that some large projectbased organizations have
functional support areas or that the PBO is nested within subsidiaries or divisions of larger corporations15©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1 INTRODUCTION
1522 The Link Between Project Management and Organizational Governance
Projects (and programs) are undertaken to achieve strategic business outcomes for which many organizations
now adopt formal organizational governance processes and procedures Organizational governance criteria
can impose constraints on projects—particularly if the project delivers a service which will be subject to strict
organizational governance
Because project success may be judged on the basis of how well the resultant product or service supports
organizational governance it is important for the project manager to be knowledgeable about corporate
organizational governance policies and procedures pertaining to the subject matter of the product or service
(eg if an organization has adopted policies in support of sustainability practices and the project involves
construction of a new office building the project manager should be aware of sustainability requirements related
to building construction)
1523 The Relationship Between Project Management and Organizational Strategy
Organizational strategy should provide guidance and direction to project management—especially when one
considers that projects exist to support organizational strategies Often it is the project sponsor or the portfolio or
program manager who identifies alignment or potential conflicts between organizational strategies and project goals
and then communicates these to the project manager If the goals of a project are in conflict with an established
organizational strategy it is incumbent upon the project manager to document and identify such conflicts as early
as possible in the project At times the development of an organizational strategy could be the goal of a project
rather than a guiding principle In such a case it is important for the project to specifically define what constitutes
an appropriate organizational strategy that will sustain the organization
16 Business Value
Business value is a concept that is unique to each organization Business value is defined as the entire value
of the business the total sum of all tangible and intangible elements Examples of tangible elements include
monetary assets fixtures stockholder equity and utility Examples of intangible elements include good will brand
recognition public benefit and trademarks Depending on the organization business value scope can be short
medium or longterm Value may be created through the effective management of ongoing operations However
through the effective use of portfolio program and project management organizations will possess the ability to
employ reliable established processes to meet strategic objectives and obtain greater business value from their
project investments While not all organizations are business driven all organizations conduct businessrelated
activities Whether an organization is a government agency or a nonprofit organization all organizations focus on
attaining business value for their activities16 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
Successful business value realization begins with comprehensive strategic planning and management
Organizational strategy can be expressed through the organization’s mission and vision including orientation to
markets competition and other environmental factors Effective organizational strategy provides defined directions
for development and growth in addition to performance metrics for success In order to bridge the gap between
organizational strategy and successful business value realization the use of portfolio program and project
management techniques is essential
Portfolio management aligns components (projects programs or operations) to the organizational strategy
organized into portfolios or subportfolios to optimize project or program objectives dependencies costs timelines
benefits resources and risks This allows organizations to have an overall view of how the strategic goals are
reflected in the portfolio institute appropriate governance management and authorize human financial or material
resources to be allocated based on expected performance and benefits
Using program management organizations have the ability to align multiple projects for optimized or integrated
costs schedule effort and benefits Program management focuses on project interdependencies and helps to
determine the optimal approach for managing and realizing the desired benefits
With project management organizations have the ability to apply knowledge processes skills and tools and
techniques that enhance the likelihood of success over a wide range of projects Project management focuses on
the successful delivery of products services or results Within programs and portfolios projects are a means of
achieving organizational strategy and objectives
Organizations can further facilitate the alignment of these portfolio program and project management activities
by strengthening organizational enablers such as structural cultural technological and human resource practices
By continuously conducting portfolio strategic alignment and optimization performing business impact analyses
and developing robust organizational enablers organizations can achieve successful transitions within the portfolio
program and project domains and attain effective investment management and business value realization
17 Role of the Project Manager
The project manager is the person assigned by the performing organization to lead the team that is responsible
for achieving the project objectives The role of a project manager is distinct from a functional manager or operations
manager Typically the functional manager is focused on providing management oversight for a functional or a
business unit and operations managers are responsible for ensuring that business operations are efficient17©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1 INTRODUCTION
Depending on the organizational structure a project manager may report to a functional manager In other cases
a project manager may be one of several project managers who report to a program or portfolio manager who is
ultimately responsible for enterprisewide projects In this type of structure the project manager works closely with
the program or portfolio manager to achieve the project objectives and to ensure the project management plan
aligns with the overarching program plan The project manager also works closely and in collaboration with other
roles such as a business analyst quality assurance manager and subject matter experts
171 Responsibilities and Competencies of the Project Manager
In general project managers have the responsibility to satisfy the needs task needs team needs and
individual needs As project management is a critical strategic discipline the project manager becomes the link
between the strategy and the team Projects are essential to the growth and survival of organizations Projects
create value in the form of improved business processes are indispensable in the development of new products
and services and make it easier for companies to respond to changes in the environment competition and
the marketplace The project manager’s role therefore becomes increasingly strategic However understanding
and applying the knowledge tools and techniques that are recognized as good practice are not sufficient for
effective project management In addition to any areaspecific skills and general management proficiencies
required for the project effective project management requires that the project manager possess the following
competencies
• Knowledge—Refers to what the project manager knows about project management
• Performance—Refers to what the project manager is able to do or accomplish while applying his or her
project management knowledge
• Personal—Refers to how the project manager behaves when performing the project or related activity
Personal effectiveness encompasses attitudes core personality characteristics and leadership which
provides the ability to guide the project team while achieving project objectives and balancing the project
constraints
172 Interpersonal Skills of a Project Manager
Project managers accomplish work through the project team and other stakeholders Effective project managers
require a balance of ethical interpersonal and conceptual skills that help them analyze situations and interact
appropriately Appendix X3 on Interpersonal Skills describes important interpersonal skills such as18 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
1 INTRODUCTION
• Leadership
• Team building
• Motivation
• Communication
• Influencing
• Decision making
• Political and cultural awareness
• Negotiation
• Trust building
• Conflict management and
• Coaching
18 Project Management Body of Knowledge
The PMBOK® Guide contains the standard for managing most projects most of the time across many types of
industries The standard included in Annex A1 describes the project management processes used to manage a
project toward a more successful outcome
This standard is unique to the project management field and has interrelationships to other project management
disciplines such as program management and portfolio management
Project management standards do not address all details of every topic This standard is limited to individual
projects and the project management processes that are generally recognized as good practice Other standards
may be consulted for additional information on the broader context in which projects are accomplished such as
• The Standard for Program Management [3] addresses the management of programs
• The Standard for Portfolio Management [4] addresses the management of portfolios
• Organizational Project Management Maturity Model (OPM3®) [5] examines an enterprise’s project
management process capabilities19©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Projects and project management take place in an environment that is broader than that of the project itself
Understanding this broader context helps ensure that work is carried out in alignment with the organization’s
goals and managed in accordance with the organization’s established practices This section describes how
organizational influences affect the methods used for staffing managing and executing the project It discusses
the influence of stakeholders on the project and its governance the project team’s structure and membership and
different approaches to the phasing and relationship of activities within the project’s life cycle The following major
sections are addressed
21 Organizational Influences on Project Management
22 Project Stakeholders and Governance
23 Project Team
24 Project Life Cycle
2220 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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21 Organizational Influences on Project Management
An organization’s culture style and structure influence how its projects are performed The organization’s level
of project management maturity and its project management systems can also influence the project When a project
involves external entities such as those that are part of a joint venture or partnering agreement the project will be
influenced by more than one organization The following sections describe organizational characteristics factors and
assets within an enterprise that are likely to influence the project
211 Organizational Cultures and Styles
Organizations are systematic arrangements of entities (persons andor departments) aimed at accomplishing
a purpose which may involve undertaking projects An organization’s culture and style affect how it conducts projects
Cultures and styles are group phenomena known as cultural norms which develop over time The norms include
established approaches to initiating and planning projects the means considered acceptable for getting the work
done and recognized authorities who make or influence decisions
Organizational culture is shaped by the common experiences of members of the organization and most organizations
have developed unique cultures over time by practice and common usage Common experiences include but are not
limited to
• Shared visions mission values beliefs and expectations
• Regulations policies methods and procedures
• Motivation and reward systems
• Risk tolerance
• View of leadership hierarchy and authority relationships
• Code of conduct work ethic and work hours and
• Operating environments21©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
The organization’s culture is an enterprise environmental factor as described in Section 215 Cultures and
styles are learned and shared and may have a strong influence on a project’s ability to meet its objectives A
project manager should therefore understand the different organizational styles and cultures that may affect a
project The project manager needs to know which individuals in the organization are the decision makers or
influencers and work with them to increase the probability of project success
In light of globalization understanding the impact of cultural influences is critical in projects involving diverse
organizations and locations around the world Culture becomes a critical factor in defining project success and multi
cultural competence becomes critical for the project manager
212 Organizational Communications
Project management success in an organization is highly dependent on an effective organizational communication
style especially in the face of globalization of the project management profession Organizational communications
capabilities have great influence on how projects are conducted As a consequence project managers in distant
locations are able to more effectively communicate with all relevant stakeholders within the organizational structure to
facilitate decision making Stakeholders and project team members can also use electronic communications (including
email texting instant messaging social media video and web conferencing and other forms of electronic media) to
communicate with the project manager formally or informally
213 Organizational Structures
Organizational structure is an enterprise environmental factor which can affect the availability of resources and
influence how projects are conducted (see also Section 215) Organizational structures range from functional to
projectized with a variety of matrix structures in between Table 21 shows key projectrelated characteristics of the
major types of organizational structures22 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Table 21 Influence of Organizational Structures on Projects
Project Manager＇s
Authority
Resource
Availability
Who manages the
project budget
Project Manager＇s
Role
Project Management
Administrative Staff
Project
Characteristics
Organization
Structure Functional
Weak Matrix Balanced Matrix Strong Matrix
Matrix
Projectized
Little or None
Little or None
Parttime Parttime Parttime Fulltime Fulltime
Parttime Parttime Fulltime Fulltime Fulltime
Functional
Manager
Functional
Manager Mixed
Project
Manager
Project
Manager
Low
Low
Low to
Moderate
Low to
Moderate
Moderate
to High
Moderate
to High
High to
Almost Total
High to
Almost Total
The classic functional organization shown in Figure 21 is a hierarchy where each employee has one clear
superior Staff members are grouped by specialty such as production marketing engineering and accounting
at the top level Specialties may be further subdivided into focused functional units such as mechanical and
electrical engineering Each department in a functional organization will do its project work independently of other
departments
Functional
Manager
Chief
Executive
Project
Coordination
(Gray boxes represent staff engaged in project activities)
Staff
Staff Staff
Staff
Staff
Functional
Manager
Functional
Manager
Staff
StaffStaff
Staff
Figure 21 Functional Organization23©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Matrix organizations as shown in Figures 22 through 24 reflect a blend of functional and projectized
characteristics Matrix organizations can be classified as weak balanced or strong depending on the relative level
of power and influence between functional and project managers Weak matrix organizations maintain many of the
characteristics of a functional organization and the role of the project manager is more of a coordinator or expediter
A project expediter works as staff assistant and communications coordinator The expediter cannot personally
make or enforce decisions Project coordinators have power to make some decisions have some authority and
report to a higherlevel manager Strong matrix organizations have many of the characteristics of the projectized
organization and have fulltime project managers with considerable authority and fulltime project administrative
staff While the balanced matrix organization recognizes the need for a project manager it does not provide the
project manager with the full authority over the project and project funding Table 21 provides additional details of
the various matrix organizational structures
Functional
Manager
Chief
Executive
Project
Coordination(Gray boxes represent staff engaged in project activities)
Staff
Staff Staff
StaffStaff
Functional
Manager
Functional
Manager
Staff
Staff
Staff
Staff
Figure 22 Weak Matrix Organization24 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Functional
Manager
Staff Staff
StaffStaff
Staff
Chief
Executive
Functional
Manager
Functional
Manager
Project
Coordination(Gray boxes represent staff engaged in project activities)
Project Manager
Staff
Staff Staff
Figure 23 Balanced Matrix Organization
Chief
Executive
Functional
Manager
Functional
Manager
Functional
Manager
Manager of
Project Managers
Staff
Staff
Staff Staff
Project Manager
Project Manager
Project Manager
Staff
Staff
Staff
Staff
Staff
Staff
Project Coordination(Gray boxes represent staff engaged in project activities)
Figure 24 Strong Matrix Organization25©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
At the opposite end of the spectrum to the functional organization is the projectized organization shown in
Figure 25 In a projectized organization team members are often colocated Most of the organization’s resources
are involved in project work and project managers have a great deal of independence and authority Virtual
collaboration techniques are often used to accomplish the benefits of colocated teams Projectized organizations
often have organizational units called departments but they can either report directly to the project manager or
provide support services to the various projects
Project
Manager
Chief
Executive
Project
Coordination
(Gray boxes represent staff engaged in project activities)
Project
Manager
Project
Manager
Staff
Staff
Staff
Staff
Staff
Staff
Staff
Staff
Staff
Figure 25 Projectized Organization
Many organizations involve all these structures at various levels often referred to as a composite organization
as shown in Figure 26 For example even a fundamentally functional organization may create a special project
team to handle a critical project Such a team may have many of the characteristics of a project team in a projectized
organization The team may include fulltime staff from different functional departments may develop its own set
of operating procedures and may even operate outside of the standard formalized reporting structure during the
project Also an organization may manage most of its projects in a strong matrix but allow small projects to be
managed by functional departments26 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Chief
Executive
Functional
Manager
Functional
Manager
Functional
Manager
Manager of
Project Managers
Staff
Staff
Staff Staff
Project Manager
Project Manager
Project Manager
Staff
Staff
Staff
Staff
Staff
Staff
Project A CoordinationProject B Coordination
(Gray boxes represent staff engaged in project activities)
Figure 26 Composite Organization
Many organizational structures include strategic middle management and operational levels The project
manager may interact with all three levels depending on factors such as
• Strategic importance of the project
• Capacity of stakeholders to exert influence on the project
• Degree of project management maturity
• Project management systems and
• Organizational communications
This interaction determines project characteristics such as
• Project manager’s level of authority
• Resource availability and management
• Entity controlling the project budget
• Project manager’s role and
• Project team composition27©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
214 Organizational Process Assets
Organizational process assets are the plans processes policies procedures and knowledge bases specific
to and used by the performing organization They include any artifact practice or knowledge from any or all of
the organizations involved in the project that can be used to perform or govern the project These process assets
include formal and informal plans processes policies procedures and knowledge bases specific to and used by the
performing organization The process assets also include the organization’s knowledge bases such as lessons learned
and historical information Organizational process assets may include completed schedules risk data and earned
value data Organizational process assets are inputs to most planning processes Throughout the project the project
team members may update and add to the organizational process assets as necessary Organizational process assets
may be grouped into two categories (1) processes and procedures and (2) corporate knowledge base
2141 Processes and Procedures
The organization’s processes and procedures for conducting project work include but are not limited to
• Initiating and Planning
○○ Guidelines and criteria for tailoring the organization’s set of standard processes and procedures
to satisfy the specific needs of the project
○○ Specific organizational standards such as policies (eg human resources policies health and
safety policies ethics policies and project management policies) product and project life cycles
and quality policies and procedures (eg process audits improvement targets checklists and
standardized process definitions for use in the organization) and
○○ Templates (eg risk register work breakdown structure project schedule network diagram and
contract templates)
• Executing Monitoring and Controlling
○○ Change control procedures including the steps by which performing organization standards
policies plans and procedures or any project documents will be modified and how any changes
will be approved and validated
○○ Financial controls procedures (eg time reporting required expenditure and disbursement
reviews accounting codes and standard contract provisions)
○○ Issue and defect management procedures defining issue and defect controls issue and defect
identification and resolution and action item tracking28 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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○○ Organizational communication requirements (eg specific communication technology available
authorized communication media record retention policies and security requirements)
○○ Procedures for prioritizing approving and issuing work authorizations
○○ Risk control procedures including risk categories risk statement templates probability and
impact definitions and probability and impact matrix and
○○ Standardized guidelines work instructions proposal evaluation criteria and performance
measurement criteria
• Closing
○○ Project closure guidelines or requirements (eg lessons learned final project audits project
evaluations product validations and acceptance criteria)
2142 Corporate Knowledge Base
The organizational knowledge base for storing and retrieving information includes but is not limited to
• Configuration management knowledge bases containing the versions and baselines of all performing
organization standards policies procedures and any project documents
• Financial databases containing information such as labor hours incurred costs budgets and any project
cost overruns
• Historical information and lessons learned knowledge bases (eg project records and documents
all project closure information and documentation information regarding both the results of previous
project selection decisions and previous project performance information and information from risk
management activities)
• Issue and defect management databases containing issue and defect status control information issue
and defect resolution and action item results
• Process measurement databases used to collect and make available measurement data on processes
and products and
• Project files from previous projects (eg scope cost schedule and performance measurement baselines
project calendars project schedule network diagrams risk registers planned response actions and
defined risk impact)29©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
215 Enterprise Environmental Factors
Enterprise environmental factors refer to conditions not under the control of the project team that influence
constrain or direct the project Enterprise environmental factors are considered inputs to most planning processes
may enhance or constrain project management options and may have a positive or negative influence on the
outcome
Enterprise environmental factors vary widely in type or nature Enterprise environmental factors include but are
not limited to
• Organizational culture structure and governance
• Geographic distribution of facilities and resources
• Government or industry standards (eg regulatory agency regulations codes of conduct product
standards quality standards and workmanship standards)
• Infrastructure (eg existing facilities and capital equipment)
• Existing human resources (eg skills disciplines and knowledge such as design development legal
contracting and purchasing)
• Personnel administration (eg staffing and retention guidelines employee performance reviews and
training records reward and overtime policy and time tracking)
• Company work authorization systems
• Marketplace conditions
• Stakeholder risk tolerances
• Political climate
• Organization’s established communications channels
• Commercial databases (eg standardized cost estimating data industry risk study information and risk
databases) and
• Project management information system (eg an automated tool such as a scheduling software tool
a configuration management system an information collection and distribution system or web interfaces
to other online automated systems)30 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
22 Project Stakeholders and Governance
A stakeholder is an individual group or organization who may affect be affected by or perceive itself to be
affected by a decision activity or outcome of a project Stakeholders may be actively involved in the project or have
interests that may be positively or negatively affected by the performance or completion of the project Different
stakeholders may have competing expectations that might create conflicts within the project Stakeholders may
also exert influence over the project its deliverables and the project team in order to achieve a set of outcomes
that satisfy strategic business objectives or other needs Project governance—the alignment of the project with
stakeholders’ needs or objectives—is critical to the successful management of stakeholder engagement and
the achievement of organizational objectives Project governance enables organizations to consistently manage
projects and maximize the value of project outcomes and align the projects with business strategy It provides a
framework in which the project manager and sponsors can make decisions that satisfy both stakeholder needs
and expectations and organizational strategic objectives or address circumstances where these may not be in
alignment
221 Project Stakeholders
Stakeholders include all members of the project team as well as all interested entities that are internal or
external to the organization The project team identifies internal and external positive and negative and performing
and advising stakeholders in order to determine the project requirements and the expectations of all parties
involved The project manager should manage the influences of these various stakeholders in relation to the project
requirements to ensure a successful outcome Figure 27 illustrates the relationship between the project the
project team and various stakeholders31©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Project Life Cycle and Organization
Project Stakeholders
Project Team
The Project
Operations
Management Functional
Managers
Sellers
Business
Partners
Customers
Users
Other
Project
Team
Members
Project
Manager
Project
Manage
ment
Team
Project
Manage
ment
Office
Program
Manager
Portfolio
Manager
Other
Stakeholders Sponsor
Figure 27 The Relationship Between Stakeholders and the Project
Stakeholders have varying levels of responsibility and authority when participating on a project This level can
change over the course of the project’s life cycle Their involvement may range from occasional contributions in
surveys and focus groups to full project sponsorship which includes providing financial political or other support
Some stakeholders may also detract from the success of the project either passively or actively These stakeholders
require the project manager’s attention throughout the project’s life cycle as well as planning to address any issues
they may raise
Stakeholder identification is a continuous process throughout the entire project life cycle Identifying stakeholders
understanding their relative degree of influence on a project and balancing their demands needs and expectations
are critical to the success of the project Failure to do so can lead to delays cost increases unexpected issues
and other negative consequences including project cancellation An example is late recognition that the legal
department is a significant stakeholder which results in delays and increased expenses due to legal requirements
that are required to be met before the project can be completed or the product scope is delivered32 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Just as stakeholders can positively or adversely impact a project’s objectives a project can be perceived by
the stakeholders as having positive or negative results For example business leaders from a community who will
benefit from an industrial expansion project will see positive economic benefits to the community in the form of
additional jobs supporting infrastructure and taxes In the case of stakeholders with positive expectations for the
project their interests are best served by making the project successful In contrast the interests of negatively
affected stakeholders such as nearby homeowners or small business owners who may lose property be forced
to relocate or accept unwanted changes in the local environment are served by impeding the project’s progress
Overlooking negative stakeholder interests can result in an increased likelihood of failures delays or other negative
consequences to the project
An important part of a project manager’s responsibility is to manage stakeholder expectations which can be
difficult because stakeholders often have very different or conflicting objectives Part of the project manager’s
responsibility is to balance these interests and ensure that the project team interacts with stakeholders in a
professional and cooperative manner Project managers may involve the project’s sponsor or other team members
from different locations to identify and manage stakeholders that could be dispersed around the world
The following are some examples of project stakeholders
• Sponsor A sponsor is the person or group who provides resources and support for the project and is
accountable for enabling success The sponsor may be external or internal to the project manager’s
organization From initial conception through project closure the sponsor promotes the project This
includes serving as spokesperson to higher levels of management to gather support throughout the
organization and promoting the benefits the project brings The sponsor leads the project through the
initiating processes until formally authorized and plays a significant role in the development of the initial
scope and charter For issues that are beyond the control of the project manager the sponsor serves
as an escalation path The sponsor may also be involved in other important issues such as authorizing
changes in scope phaseend reviews and gonogo decisions when risks are particularly high The
sponsor also ensures a smooth transfer of the project’s deliverables into the business of the requesting
organization after project closure
• Customers and users Customers are the persons or organizations who will approve and manage the
project’s product service or result Users are the persons or organizations who will use the project’s
product service or result Customers and users may be internal or external to the performing organization
and may also exist in multiple layers For example the customers for a new pharmaceutical product
could include the doctors who prescribe it the patients who use it and the insurers who pay for it In some
application areas customers and users are synonymous while in others customers refer to the entity
acquiring the project’s product and users refer to those who will directly utilize the project’s product33©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
• Sellers Sellers also called vendors suppliers or contractors are external companies that enter into a
contractual agreement to provide components or services necessary for the project
• Business partners Business partners are external organizations that have a special relationship with
the enterprise sometimes attained through a certification process Business partners provide specialized
expertise or fill a specified role such as installation customization training or support
• Organizational groups Organizational groups are internal stakeholders who are affected by the activities
of the project team Examples of various business elements of an organization that may be affected by
the project include marketing and sales human resources legal finance operations manufacturing and
customer service These groups support the business environment where projects are executed and
are therefore affected by the activities of the project As a result there is generally a significant amount
of interaction between the various business elements of an organization and the project team as they
work together to achieve project goals These groups may provide input to requirements and accept
deliverables necessary for a smooth transition to production or related operations
• Functional managers Functional managers are key individuals who play a management role within
an administrative or functional area of the business such as human resources finance accounting or
procurement They are assigned their own permanent staff to carry out the ongoing work and they have
a clear directive to manage all tasks within their functional area of responsibility The functional manager
may provide subject matter expertise or their function may provide services to the project
• Other stakeholders Additional stakeholders such as procurement entities financial institutions
government regulators subject matter experts consultants and others may have a financial interest in
the project contribute inputs to the project or have an interest in the outcome of the project
Project stakeholders and stakeholder engagement are further defined in Section 13 on Project Stakeholder
Management34 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
222 Project Governance
Project governance is an oversight function that is aligned with the organization’s governance model and that
encompasses the project life cycle Project governance framework provides the project manager and team with
structure processes decisionmaking models and tools for managing the project while supporting and controlling
the project for successful delivery Project governance is a critical element of any project especially on complex and
risky projects It provides a comprehensive consistent method of controlling the project and ensuring its success
by defining and documenting and communicating reliable repeatable project practices It includes a framework
for making project decisions defines roles responsibilities and accountabilities for the success of the project and
determines the effectiveness of the project manager A project’s governance is defined by and fits within the larger
context of the portfolio program or organization sponsoring it but is separate from organizational governance
For project governance the PMO may also play some decisive role Project governance involves stakeholders
as well as documented policies procedures and standards responsibilities and authorities Examples of the
elements of a project governance framework include
• Project success and deliverable acceptance criteria
• Process to identify escalate and resolve issues that arise during the project
• Relationship among the project team organizational groups and external stakeholders
• Project organization chart that identifies project roles
• Processes and procedures for the communication of information
• Project decisionmaking processes
• Guidelines for aligning project governance and organizational strategy
• Project life cycle approach
• Process for stage gate or phase reviews
• Process for review and approval for changes to budget scope quality and schedule which are beyond
the authority of the project manager and
• Process to align internal stakeholders with project process requirements35©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Within those constraints as well as the additional limitations of time and budget it is up to the project manager
and the project team to determine the most appropriate method of carrying out the project While project governance
is the framework in which the project team performs the team is still responsible for planning executing controlling
and closing the project The project governance approach should be described in the project management plan
Decisions are made regarding who will be involved the escalation procedures what resources are necessary and
the general approach to completing the work Another important consideration is whether more than one phase will
be involved and if so the specific life cycle for the individual project
223 Project Success
Since projects are temporary in nature the success of the project should be measured in terms of completing
the project within the constraints of scope time cost quality resources and risk as approved between the project
managers and senior management To ensure realization of benefits for the undertaken project a test period (such
as soft launch in services) can be part of the total project time before handing it over to the permanent operations
Project success should be referred to the last baselines approved by the authorized stakeholders
The project manager is responsible and accountable for setting realistic and achievable boundaries for the
project and to accomplish the project within the approved baselines
23 Project Team
The project team includes the project manager and the group of individuals who act together in performing the
work of the project to achieve its objectives The project team includes the project manager project management
staff and other team members who carry out the work but who are not necessarily involved with management of
the project This team is comprised of individuals from different groups with specific subject matter knowledge or
with a specific skill set to carry out the work of the project The structure and characteristics of a project team can
vary widely but one constant is the project manager’s role as the leader of the team regardless of what authority
the project manager may have over its members36 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Project teams include roles such as
• Project management staff The members of the team who perform project management activities such
as scheduling budgeting reporting and control communications risk management and administrative
support This role may be performed or supported by a project management office (PMO)
• Project staff The members of the team who carry out the work of creating the project deliverables
• Supporting experts Supporting experts perform activities required to develop or execute the project
management plan These can include such roles as contracting financial management logistics legal
safety engineering test or quality control Depending on the size of the project and level of support
required supporting experts may be assigned to work full time or may just participate on the team when
their particular skills are required
• User or Customer Representatives Members of the organization who will accept the deliverables or
products of the project may be assigned to act as representatives or liaisons to ensure proper coordination
advise on requirements or validate the acceptability of the project’s results
• Sellers Sellers also called vendors suppliers or contractors are external companies that enter into
a contractual agreement to provide components or services necessary for the project The project team
is often assigned the responsibility to oversee the performance and acceptance of sellers’ deliverables
or services If the sellers bear a large share of the risk for delivering the project’s results they may play
a significant role on the project team
• Business partner members Members of business partners’ organizations may be assigned as members
of the project team to ensure proper coordination
• Business partners Business partners are also external companies but they have a special relationship
with the enterprise sometimes attained through a certification process Business partners provide
specialized expertise or fill a specified role such as installation customization training or support37©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
231 Composition of Project Teams
The composition of project teams varies based on factors such as organizational culture scope and location
The relationship between the project manager and the team varies depending on the authority of the project
manager In some cases a project manager may be the team’s line manager with full authority over its members
In other cases a project manager may have little or no direct organizational authority over the team members and
may have been brought in to lead the project on a parttime basis or under contract The following are examples
of basic project team compositions
• Dedicated In a dedicated team all or a majority of the project team members are assigned to work
fulltime on the project The project team may be colocated or virtual and usually reports directly to the
project manager This is the simplest structure for a project manager as the lines of authority are clear
and team members can focus on the project’s objectives
• PartTime Some projects are established as temporary additional work with the project manager and
team members working on the project while remaining in their existing organizations and continuing to
carry out their normal functions The functional managers maintain control over the team members and
the resources allocated to the project and the project manager is likely to continue performing other
management duties Parttime team members may also be assigned to more than one project at a time
Dedicated and parttime project team compositions may exist in any of the organizational structures Dedicated
project teams are often seen in projectized organizations where most of the organization’s resources are involved
in project work and project managers have a great deal of independence and authority Parttime project teams
are common within functional organizations and matrix organizations use both dedicated and parttime project
teams Other members who have limited involvement at various stages of a project can be thought of as parttime
project team members
Project team composition may also vary based on organizational structure An example of this is a partnership
based project A project may be established as a partnership joint venture consortium or alliance among several
organizations through contracts or agreements In this structure one organization takes the lead and assigns a
project manager to coordinate the efforts among the partners Partnershipbased projects can offer flexibility at
lower cost These advantages may be offset by the project manager’s lower degree of control over team members
and the need for strong mechanisms for communication and monitoring progress Partnership projects may be set
up to exploit industrial synergies to undertake ventures that one partner could not afford alone or for other political
and strategic reasons38 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Project team composition may also vary based on the geographic location of its members An example of this is
virtual project teams Communication technologies allow team members in different locations or countries to work
as virtual teams Virtual teams rely on collaborative tools such as shared online workspaces and video conferences
to coordinate their activities and exchange information about the project A virtual team can exist with any type
of organizational structure and team composition Virtual teams are often necessary for projects where resources
are located onsite or offsite or both depending on the project activities A project manager who is leading a virtual
team needs to accommodate differences in the culture working hours time zones local conditions and languages
24 Project Life Cycle
A project life cycle is the series of phases that a project passes through from its initiation to its closure The
phases are generally sequential and their names and numbers are determined by the management and control
needs of the organization or organizations involved in the project the nature of the project itself and its area of
application The phases can be broken down by functional or partial objectives intermediate results or deliverables
specific milestones within the overall scope of work or financial availability Phases are generally time bounded
with a start and ending or control point A life cycle can be documented within a methodology The project life
cycle can be determined or shaped by the unique aspects of the organization industry or technology employed
While every project has a definite start and a definite end the specific deliverables and activities that take place
in between will vary widely with the project The life cycle provides the basic framework for managing the project
regardless of the specific work involved
Project life cycles can range along a continuum from predictive or plandriven approaches at one end to adaptive
or changedriven approaches at the other In a predictive life cycle (Section 2422) the product and deliverables
are defined at the beginning of the project and any changes to scope are carefully managed In an adaptive life
cycle (Section 2424) the product is developed over multiple iterations and detailed scope is defined for each
iteration only as the iteration begins
241 Characteristics of the Project Life Cycle
Projects vary in size and complexity All projects can be mapped to the following generic life cycle structure (see
Figure 28)39©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
• Starting the project
• Organizing and preparing
• Carrying out the project work and
• Closing the project
This generic life cycle structure is often referred to when communicating with upper management or other
entities less familiar with the details of the project It should not be confused with the Project Management Process
Groups because the processes in a Process Group consist of activities that may be performed and recur within
each phase of a project as well as for the project as a whole The project life cycle is independent from the life cycle
of the product produced by or modified by the project However the project should take the current lifecycle phase
of the product into consideration This highlevel view can provide a common frame of reference for comparing
projects—even if they are dissimilar in nature
Time
Cost and Staffing Level
Project
Management
Outputs
Project
Charter
Starting
the
project
Organizing and
preparing
Closing
the
project
Carrying out the work
Project
Management Plan
Accepted
Deliverables
Archived
Project
Documents
Figure 28 Typical Cost and Staffing Levels Across a Generic Project Life Cycle Structure40 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
The generic life cycle structure generally displays the following characteristics
• Cost and staffing levels are low at the start peak as the work is carried out and drop rapidly as the
project draws to a close Figure 28 illustrates this typical pattern
• The typical cost and staffing curve above may not apply to all projects A project may require significant
expenditures to secure needed resources early in its life cycle for instance or be fully staffed from a point
very early in its life cycle
• Risk and uncertainty (as illustrated in Figure 29) are greatest at the start of the project These factors
decrease over the life of the project as decisions are reached and as deliverables are accepted
• The ability to influence the final characteristics of the project’s product without significantly impacting
cost is highest at the start of the project and decreases as the project progresses towards completion
Figure 29 illustrates the idea that the cost of making changes and correcting errors typically increases
substantially as the project approaches completion
While these characteristics remain present to some extent in almost all project life cycles they are not always
present to the same degree Adaptive life cycles in particular are developed with the intent of keeping stakeholder
influences higher and the costs of changes lower throughout the life cycle than in predictive life cycles
Risk and uncertainty
Cost of changes
Project Time
Low
High
Degree
Figure 29 Impact of Variable Based on Project Time41©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Within the context of the generic life cycle structure a project manager may determine the need for more
effective control over certain deliverables or that certain deliverables are required to be completed before the
project scope can be completely defined Large and complex projects in particular may require this additional
level of control In such instances the work carried out to complete the project’s objective may benefit from being
formally divided into phases
242 Project Phases
A project may be divided into any number of phases A project phase is a collection of logically related project
activities that culminates in the completion of one or more deliverables Project phases are used when the nature
of the work to be performed is unique to a portion of the project and are typically linked to the development of
a specific major deliverable A phase may emphasize processes from a particular Project Management Process
Group but it is likely that most or all processes will be executed in some form in each phase Project phases
typically are completed sequentially but can overlap in some project situations Different phases typically have a
different duration or effort The highlevel nature of project phases makes them an element of the project life cycle
The phase structure allows the project to be segmented into logical subsets for ease of management planning
and control The number of phases the need for phases and the degree of control applied depend on the size
complexity and potential impact of the project Regardless of the number of phases comprising a project all
phases have similar characteristics
• The work has a distinct focus that differs from any other phase This often involves different organizations
locations and skill sets
• Achieving the primary deliverable or objective of the phase requires controls or processes unique to the
phase or its activities The repetition of processes across all five Process Groups as described in Section
3 provides an additional degree of control and defines the boundaries of the phase
• The closure of a phase ends with some form of transfer or handoff of the work product produced as the
phase deliverable This phase end represents a natural point to reassess the activities underway and to
change or terminate the project if necessary This point may be referred to as a stage gate milestone
phase review phase gate or kill point In many cases the closure of a phase is required to be approved
in some form before it can be considered closed42 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
There is no single ideal structure that will apply to all projects Although industry common practices will often
lead to the use of a preferred structure projects in the same industry—or even in the same organization—may
have significant variation Some will have only one phase as shown in Figure 210 Other projects may have two
or more phases
One Approach to Managing the Installation of a Telecommunications Network
Executing Processes
Monitoring and Controlling Processes
Closing ProcessesInitiating Processes Planning Processes
Figure 210 Example of a SinglePhase Project
Some organizations have established policies that standardize all projects while others allow the project team
to choose and tailor the most appropriate approach for their individual project For instance one organization
may treat a feasibility study as routine preproject work another may treat it as the first phase of a project and
a third may treat the feasibility study as a separate standalone project Likewise one project team may divide a
project into two phases whereas another project team may choose to manage all the work as a single phase Much
depends on the nature of the specific project and the style of the project team or organization
2421 PhasetoPhase Relationships
When projects have more than one phase the phases are part of a generally sequential process designed to
ensure proper control of the project and attain the desired product service or result However there are situations
when a project might benefit from overlapping or concurrent phases
There are two basic types of phasetophase relationships
• Sequential relationship In a sequential relationship a phase starts only when the previous phase is
complete Figure 211 shows an example of a project with three entirely sequential phases The step
bystep nature of this approach reduces uncertainty but may eliminate options for reducing the overall
schedule43©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Landscaping
One Approach to Cleaning Up a Hazardous Waste Site
Executing
Processes
Monitoring and Controlling Processes
Closing
Processes
Initiating
Processes
Planning
Processes
Waste RemovalCleanup
Executing
Processes
Monitoring and Controlling Processes
Closing
Processes
Initiating
Processes
Planning
Processes
Facility Decommissioning
Executing
Processes
Monitoring and Controlling Processes
Closing
Processes
Initiating
Processes
Planning
Processes
Figure 211 Example of a ThreePhase Project
• Overlapping relationship In an overlapping relationship a phase starts prior to completion of the previous
one (see Figure 212) This can sometimes be applied as an example of the schedule compression
technique called fast tracking Overlapping phases may require additional resources to allow work to be
done in parallel may increase risk and can result in rework if a subsequent phase progresses before
accurate information is available from the previous phase
Construction Phase
Executing
Processes
Monitoring and Controlling Processes
Closing
Processes
Initiating
Processes
Planning
Processes
Design Phase
Executing
Processes
Monitoring and Controlling Processes
Closing
Processes
Initiating
Processes
Planning
Processes
Potential Approach to Building a New Factory
Figure 212 Example of a Project with Overlapping Phases44 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
For projects with more than one phase there may be different relationships (overlapping sequential parallel)
between individual phases Considerations such as level of control required effectiveness and degree of uncertainty
determine the relationship to be applied between phases Based on those considerations both relationships could
occur between different phases of a single project
2422 Predictive Life Cycles
Predictive life cycles (also known as fully plandriven) are ones in which the project scope and the time and
cost required to deliver that scope are determined as early in the project life cycle as practically possible As shown
in Figure 213 these projects proceed through a series of sequential or overlapping phases with each phase
generally focusing on a subset of project activities and project management processes The work performed in
each phase is usually different in nature to that in the preceding and subsequent phases therefore the makeup
and skills required of the project team may vary from phase to phase
Requirements
Feasibility
Planning
Design
Construct
Test
Turnover
Figure 213 Example of Predictive Life Cycle45©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
When the project is initiated the project team will focus on defining the overall scope for the product and
project develop a plan to deliver the product (and any associated deliverables) and then proceed through phases
to execute the plan within that scope Changes to the project scope are carefully managed and require re planning
and formal acceptance of the new scope
Predictive life cycles are generally preferred when the product to be delivered is well understood there is
a substantial base of industry practice or where a product is required to be delivered in full to have value to
stakeholder groups
Even projects with predictive life cycles may use the concept of rolling wave planning where a more general
highlevel plan is available and more detailed planning is executed for appropriate time windows as new work
activities are approaching and resources are to be assigned
2423 Iterative and Incremental Life Cycles
Iterative and incremental life cycles are ones in which project phases (also called iterations) intentionally repeat
one or more project activities as the project team’s understanding of the product increases Iterations develop the
product through a series of repeated cycles while increments successively add to the functionality of the product
These life cycles develop the product both iteratively and incrementally
Iterative and incremental projects may proceed in phases and the iterations themselves will be performed in a
sequential or overlapping fashion During an iteration activities from all Project Management Process Groups will
be performed At the end of each iteration a deliverable or set of deliverables will be completed Future iterations
may enhance those deliverables or create new ones Each iteration incrementally builds the deliverables until the
exit criteria for the phase are met allowing the project team to incorporate feedback
In most iterative life cycles a highlevel vision will be developed for the overall undertaking but the detailed
scope is elaborated one iteration at a time Often the planning for the next iteration is carried out as work progresses
on the current iteration’s scope and deliverables The work required for a given set of deliverables may vary in
duration and effort and the project team may change between or during iterations Those deliverables that are not
addressed within the scope of the current iteration are typically scoped at a high level only and may be tentatively
assigned to a specific future iteration Changes to the scope of an iteration are carefully managed once work begins46 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
2 ORGANIZATIONAL INFLUENCES AND PROJECT LIFE CYCLE
Iterative and incremental life cycles are generally preferred when an organization needs to manage changing
objectives and scope to reduce the complexity of a project or when the partial delivery of a product is beneficial
and provides value for one or more stakeholder groups without impact to the final deliverable or set of deliverables
Large and complex projects are frequently executed in an iterative fashion to reduce risk by allowing the team to
incorporate feedback and lessons learned between iterations
2424 Adaptive Life Cycles
Adaptive life cycles (also known as changedriven or agile methods) are intended to respond to high levels
of change and ongoing stakeholder involvement Adaptive methods are also iterative and incremental but differ
in that iterations are very rapid (usually with a duration of 2 to 4 weeks) and are fixed in time and cost Adaptive
projects generally perform several processes in each iteration although early iterations may concentrate more on
planning activities
The overall scope of the project will be decomposed into a set of requirements and work to be performed
sometimes referred to as a product backlog At the beginning of an iteration the team will work to determine
how many of the highest priority items on the backlog list can be delivered within the next iteration At the end of
each iteration the product should be ready for review by the customer This does not mean that the customer is
required to accept delivery just that the product should not include unfinished incomplete or unusable features
The sponsor and customer representatives should be continuously engaged with the project to provide feedback
on deliverables as they are created and to ensure that the product backlog reflects their current needs
Adaptive methods are generally preferred when dealing with a rapidly changing environment when requirements
and scope are difficult to define in advance and when it is possible to define small incremental improvements that
will deliver value to stakeholders47©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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3 PROJECT MANAGEMENT PROCESSES
PROJECT MANAGEMENT PROCESSES
Project management is the application of knowledge skills tools and techniques to project activities to meet the
project requirements This application of knowledge requires the effective management of the project management
processes
A process is a set of interrelated actions and activities performed to create a prespecified product service or
result Each process is characterized by its inputs the tools and techniques that can be applied and the resulting
outputs As explained in Section 2 the project manager needs to consider organizational process assets and
enterprise environmental factors These should be taken into account for every process even if they are not
explicitly listed as inputs in the process specification Organizational process assets provide guidelines and criteria
for tailoring the organization’s processes to the specific needs of the project Enterprise environmental factors may
constrain the project management options
In order for a project to be successful the project team should
• Select appropriate processes required to meet the project objectives
• Use a defined approach that can be adapted to meet requirements
• Establish and maintain appropriate communication and engagement with stakeholders
• Comply with requirements to meet stakeholder needs and expectations and
• Balance the competing constraints of scope schedule budget quality resources and risk to produce the
specified product service or result
The project processes are performed by the project team with stakeholder interaction and generally fall into one
of two major categories
• Project management processes These processes ensure the effective flow of the project throughout
its life cycle These processes encompass the tools and techniques involved in applying the skills and
capabilities described in the Knowledge Areas (Sections 4 through 13)
• Productoriented processes These processes specify and create the project’s product Product
oriented processes are typically defined by the project life cycle (as discussed in Section 24) and vary
by application area as well as the phase of the product life cycle The scope of the project cannot be
defined without some basic understanding of how to create the specified product For example various
construction techniques and tools need to be considered when determining the overall complexity of the
house to be built
3348 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
3 PROJECT MANAGEMENT PROCESSES
The PMBOK® Guide describes only the project management processes Although productoriented processes
are outside the scope of this document they should not be ignored by the project manager and project team Project
management processes and productoriented processes overlap and interact throughout the life of a project
Project management processes apply globally and across industry groups Good practice means there is general
agreement that the application of project management processes has been shown to enhance the chances of
success over a wide range of projects Good practice does not mean that the knowledge skills and processes
described should always be applied uniformly on all projects For any given project the project manager in
collaboration with the project team is always responsible for determining which processes are appropriate and
the appropriate degree of rigor for each process
Project managers and their teams should carefully address each process and its inputs and outputs and
determine which are applicable to the project they are working on The PMBOK® Guide may be used as a resource
in managing a project while considering the overall approach and methodology to be followed for the project This
effort is known as tailoring
Project management is an integrative undertaking that requires each project and product process to be
appropriately aligned and connected with the other processes to facilitate coordination Actions taken during one
process typically affect that process and other related processes For example a scope change typically affects
project cost but it may not affect the communications management plan or level of risk These process interactions
often require tradeoffs among project requirements and objectives and the specific performance tradeoffs will vary
from project to project and organization to organization Successful project management includes actively managing
these interactions to meet sponsor customer and other stakeholder requirements In some circumstances a
process or set of processes will need to be iterated several times in order to achieve the required outcome
Projects exist within an organization and do not operate as a closed system They require input data from the
organization and beyond and deliver capabilities back to the organization The project processes may generate
information to improve the management of future projects and organizational process assets
The PMBOK® Guide describes the nature of project management processes in terms of the integration between
the processes their interactions and the purposes they serve Project management processes are grouped into five
categories known as Project Management Process Groups (or Process Groups)49©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
3
3 PROJECT MANAGEMENT PROCESSES
• Initiating Process Group Those processes performed to define a new project or a new phase of an
existing project by obtaining authorization to start the project or phase
• Planning Process Group Those processes required to establish the scope of the project refine the
objectives and define the course of action required to attain the objectives that the project was undertaken
to achieve
• Executing Process Group Those processes performed to complete the work defined in the project
management plan to satisfy the project specifications
• Monitoring and Controlling Process Group Those processes required to track review and regulate the
progress and performance of the project identify any areas in which changes to the plan are required
and initiate the corresponding changes
• Closing Process Group Those processes performed to finalize all activities across all Process Groups to
formally close the project or phase
The remainder of this section provides information for project management of a single project organized as
a network of interlinked processes details the project management processes and includes the following major
sections
31 Common Project Management Process Interactions
32 Project Management Process Groups
33 Initiating Process Group
34 Planning Process Group
35 Executing Process Group
36 Monitoring and Controlling Process Group
37 Closing Process Group
38 Project Information
39 Role of the Knowledge Areas
310 The Standard for Project Management of a Project50 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
3 PROJECT MANAGEMENT PROCESSES
31 Common Project Management Process Interactions
The project management processes are presented as discrete elements with welldefined interfaces However
in practice they overlap and interact in ways that are not completely detailed in this document Most experienced
project management practitioners recognize there is more than one way to manage a project The required Process
Groups and their processes are guides for applying appropriate project management knowledge and skills during
the project The application of the project management processes is iterative and many processes are repeated
during the project
The integrative nature of project management requires the Monitoring and Controlling Process Group to interact
with the other Process Groups as shown in Figure 31 Monitoring and Controlling processes occur at the same
time as processes contained within other Process Groups Thus the Monitoring and Controlling Process is pictured
as a background Process Group for the other four Process Groups shown in Figure 31
Monitoring &
Controlling Processes
Planning
Processes
Initiating
Processes
Closing
Processes
Exit Phase
End project
Enter Phase
Start project
Executing
Processes
Figure 31 Project Management Process Groups51©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
3
3 PROJECT MANAGEMENT PROCESSES
Project Management Process Groups are linked by the outputs which are produced The Process Groups are
seldom either discrete or onetime events they are overlapping activities that occur throughout the project The
output of one process generally becomes an input to another process or is a deliverable of the project subproject or
project phase Deliverables at the subproject or project level may be called incremental deliverables The Planning
Process Group provides the Executing Process Group with the project management plan and project documents
and as the project progresses it often creates updates to the project management plan and the project documents
Figure 32 illustrates how the Process Groups interact and shows the level of overlap at various times If the project
is divided into phases the Process Groups interact within each phase
Planning
Process
Group
Initiating
Process
Group
Executing
Process
Group
Monitoring
and Controlling
Process Group
Closing
Process
Group
Start Finish
TIME
Level of
Process
Interaction
Figure 32 Process Groups Interact in a Phase or Project
An example of this interaction is the exit of a design phase which requires sponsor acceptance of the design
document Once it is available the design document provides the product description for the Planning and Executing
Process Groups in one or more subsequent phases When a project is divided into phases the Process Groups are
used as appropriate to effectively drive the project to completion in a controlled manner In multiphase projects
processes are repeated within each phase until the criteria for phase completion have been satisfied Additional
information on project organization life cycles and project phases is provided in Section 252 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
3 PROJECT MANAGEMENT PROCESSES
32 Project Management Process Groups
The following sections identify and describe the five Project Management Process Groups required for any
project These five Process Groups have clear dependencies and are typically performed in each project and
highly interact with one another These five Process Groups are independent of application areas or industry focus
Individual Process Groups and individual processes are often iterated prior to completing the project and can have
interactions within a Process Group and among Process Groups The nature of these interactions varies from project
to project and may or may not be performed in a particular order
The process flow diagram Figure 33 provides an overall summary of the basic flow and interactions
among Process Groups and specific stakeholders The project management processes are linked by specific
inputs and outputs where the result or outcome of one process becomes the input to another process but not
necessarily in the same Process Group The Process Groups are not project life cycle phases In fact it is
possible that all Process Groups could be conducted within a phase As projects are separated into distinct phases
or subcomponents such as concept development feasibility study design prototype build or test etc all of the
Process Groups would normally be repeated for each phase or subcomponent along the lines explained previously
and illustrated in Figure 32
The project management processes are shown in the Process Group in which most of the related activities takes
place For example a process that normally takes place in the planning phase is put into the Planning Process
Group When this process is updated by an Executing Process Group process or activity it is not considered a new
process within the Executing Process Group but is still a Planning Process Group process or activity The iterative
nature of project management means that processes from any group may be reused throughout the project life
cycle For example in response to a risk event executing a risk response may trigger further analysis which leads
to another iteration of the Identify Risks process and the associated Perform Quantitative Risk Analysis and Perform
Quantitative Risk Analysis processes to evaluate the impact53©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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3 PROJECT MANAGEMENT PROCESSES
Initiating
Process
Group
Monitoring
and
Controlling
Process
Group
Planning
Process
Group
Executing
Process
Group
Closing
Process
Group
Project Initiator
or Sponsor
Enterprise
Organization
Customer
Sellers
• Project
management
plan
• Makeorbuy
decisions
• Source selection
criteria
• Deliverables
• Change requests
• Work performance information
• Selected sellers
• Accepted deliverables
• Procurement documentation
NOTE The darker dotted lines represent relationships between Process Groups the lighter dotted lines are external to the Process Groups
• Seller
proposals
• Procurement
contract award
• Requirements
• Teaming
agreements
• Organizational
process assets
• Enterprise
environmental
factors
• Stakeholder
register
• Stakeholder
management
strategy
• Project
charter
• Procurement
documents
• Project statement of work
• Business case
• Agreements
• Resource
calendars
• Final product
service or result
• Approved change
requests
• Quality control
measurements
• Performance reports
Project
Documents
Figure 33 Project Management Process Interactions54 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
3 PROJECT MANAGEMENT PROCESSES
33 Initiating Process Group
The Initiating Process Group consists of those processes performed to define a new project or a new phase
of an existing project by obtaining authorization to start the project or phase Within the Initiating processes the
initial scope is defined and initial financial resources are committed Internal and external stakeholders who
will interact and influence the overall outcome of the project are identified If not already assigned the project
manager will be selected This information is captured in the project charter and stakeholder register When the
project charter is approved the project becomes officially authorized Although the project management team may
help write the project charter this standard assumes that business case assessment approval and funding are
handled externally to the project boundaries (Figure 34) A project boundary is defined as the point in time that
a project or project phase is authorized to its completion The key purpose of this Process Group is to align the
stakeholders’ expectations with the project’s purpose give them visibility about the scope and objectives show
how their participation in the project and it associated phases can ensure that their expectations are achieved
These processes help set the vision of the project—what is needed to be accomplished
Project
Boundaries
Project
Deliverables
Project
Records
End
Users
Process
Assets
Monitoring &
Controlling Processes
Planning
Processes
Initiating
Processes
Closing
Processes
Executing
Processes
Project
Inputs
Project
Initiator
Sponsor
Figure 34 Project Boundaries
Large complex projects should be divided into separate phases In such projects the Initiating processes are
carried out during subsequent phases to validate the decisions made during the original Develop Project Charter
and Identify Stakeholders processes Performing the Initiating processes at the start of each phase helps to keep
the project focused on the business need that the project was undertaken to address The success criteria are
verified and the influence drivers and objectives of the project stakeholders are reviewed A decision is then
made as to whether the project should be continued delayed or discontinued55©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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3 PROJECT MANAGEMENT PROCESSES
Involving the sponsors customers and other stakeholders during initiation creates a shared understanding of
success criteria reduces the overhead of involvement and generally improves deliverable acceptance customer
satisfaction and other stakeholder satisfaction
Initiating processes may be performed at the organizational program or portfolio level and therefore would
be outside of the project’s level of control For example prior to commencing a project the need for highlevel
requirements may be documented as part of a larger organizational initiative A process of evaluating alternatives
may be utilized to determine the feasibility of the new undertaking Clear descriptions of the project objectives may
be developed including the reasons why a specific project is the best alternative to satisfy the requirements The
documentation for this decision may also contain the initial project scope statement deliverables project duration
and a forecast of the resources for the organization’s investment analysis As part of the Initiating processes the
project manager is given the authority to apply organizational resources to the subsequent project activities
34 Planning Process Group
The Planning Process Group consists of those processes performed to establish the total scope of the effort
define and refine the objectives and develop the course of action required to attain those objectives The Planning
processes develop the project management plan and the project documents that will be used to carry out the
project The complex nature of project management may require the use of repeated feedback loops for additional
analysis As more project information or characteristics are gathered and understood additional planning will
likely be required Significant changes occurring throughout the project life cycle trigger a need to revisit one
or more of the planning processes and possibly some of the initiating processes This progressive detailing of
the project management plan is called progressive elaboration indicating that planning and documentation are
iterative and ongoing activities The key benefit of this Process Group is to delineate the strategy and tactics as
well as the course of action or path to successfully complete the project or phase When the Planning Process
Group is well managed it is much easier to get stakeholder buyin and engagement These processes express
how this will be done setting the route to the desired objective
The project management plan and project documents developed as outputs from the Planning Process Group
will explore all aspects of the scope time cost quality communications human resources risks procurements
and stakeholder engagement56 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
3 PROJECT MANAGEMENT PROCESSES
Updates arising from approved changes during the project (generally during Monitoring and Controlling
processes and specifically during the Direct and Manage Project Work Process) may significantly impact parts of
the project management plan and the project documents Updates to these documents provide greater precision
with respect to schedule costs and resource requirements to meet the defined project scope
The project team seeks input and encourages involvement from all stakeholders when planning the project
and developing the project management plan and project documents While the act of collecting feedback and
refining the documents cannot continue indefinitely procedures set by the organization dictate when the initial
planning ends These procedures will be affected by the nature of the project the established project boundaries
appropriate monitoring and controlling activities as well as the environment in which the project will be performed
Other interactions among the processes within the Planning Process Group are dependent upon the nature of
the project For example for some projects there will be little or no identifiable risks until after a significant amount
of planning has been done At that time the team might recognize that the cost and schedule targets are overly
aggressive thus involving considerably more risk than previously understood The results of the iterations are
documented as updates to the project management plan or to various project documents
35 Executing Process Group
The Executing Process Group consists of those processes performed to complete the work defined in the
project management plan to satisfy the project specifications This Process Group involves coordinating people and
resources managing stakeholder expectations as well as integrating and performing the activities of the project in
accordance with the project management plan
During project execution results may require planning updates and rebaselining This may include changes
to expected activity durations changes in resource productivity and availability and unanticipated risks Such
variances may affect the project management plan or project documents and may require detailed analysis and
development of appropriate project management responses The results of the analysis can trigger change requests
that if approved may modify the project management plan or other project documents and possibly require
establishing new baselines A large portion of the project’s budget will be expended in performing the Executing
Process Group processes57©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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3 PROJECT MANAGEMENT PROCESSES
36 Monitoring and Controlling Process Group
The Monitoring and Controlling Process Group consists of those processes required to track review and
orchestrate the progress and performance of the project identify any areas in which changes to the plan are
required and initiate the corresponding changes The key benefit of this Process Group is that project performance
is measured and analyzed at regular intervals appropriate events or exception conditions to identify variances
from the project management plan The Monitoring and Controlling Process Group also involves
• Controlling changes and recommending corrective or preventive action in anticipation of possible
problems
• Monitoring the ongoing project activities against the project management plan and the project
performance measurement baseline and
• Influencing the factors that could circumvent integrated change control or configuration management
so only approved changes are implemented
This continuous monitoring provides the project team insight into the health of the project and identifies any
areas requiring additional attention The Monitoring and Controlling Process Group not only monitors and controls
the work being done within a Process Group but also monitors and controls the entire project effort In multiphase
projects the Monitoring and Controlling Process Group coordinates project phases in order to implement corrective
or preventive actions to bring the project into compliance with the project management plan This review can result
in recommended and approved updates to the project management plan For example a missed activity finish date
may require adjustments and tradeoffs between budget and schedule objectives In order to reduce or control
overhead managementbyexception procedures and other techniques can be appropriately considered
37 Closing Process Group
The Closing Process Group consists of those processes performed to conclude all activities across all Project
Management Process Groups to formally complete the project phase or contractual obligations This Process
Group when completed verifies that the defined processes are completed within all of the Process Groups to close
the project or a project phase as appropriate and formally establishes that the project or project phase is complete58 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
3 PROJECT MANAGEMENT PROCESSES
This Process Group also formally establishes the premature closure of the project Prematurely closed projects
may include for example aborted projects cancelled projects and projects having a critical situation In specific
cases when some contracts cannot be formally closed (eg claims termination clauses etc) or some activities
are to be transferred to other organizational units specific handover procedures may be arranged and finalized
At project or phase closure the following may occur
• Obtain acceptance by the customer or sponsor to formally close the project or phase
• Conduct postproject or phaseend review
• Record impacts of tailoring to any process
• Document lessons learned
• Apply appropriate updates to organizational process assets
• Archive all relevant project documents in the project management information system (PMIS) to be used
as historical data
• Close out all procurement activities ensuring termination of all relevant agreements and
• Perform team members’ assessments and release project resources
38 Project Information
Throughout the life cycle of the project a significant amount of data and information is collected analyzed
transformed and distributed in various formats to project team members and other stakeholders Project data are
collected as a result of various Executing processes and are shared within the project team The collected data
are analyzed in context and aggregated and transformed to become project information during various Controlling
processes The information may then be communicated verbally or stored and distributed as reports in various
formats
The project data are continuously collected and analyzed during the dynamic context of the project execution
As a result the terms data and information are often used interchangeably in practice The indiscriminate use
of these terms can lead to confusion and misunderstandings by the various project stakeholders The following
guidelines help minimize miscommunication and help the project team use appropriate terminology59©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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3 PROJECT MANAGEMENT PROCESSES
• Work performance data The raw observations and measurements identified during activities performed
to carry out the project work Examples include reported percent of work physically completed quality
and technical performance measures start and finish dates of schedule activities number of change
requests number of defects actual costs actual durations etc
• Work performance information The performance data collected from various controlling processes
analyzed in context and integrated based on relationships across areas Examples of performance
information are status of deliverables implementation status for change requests and forecasted
estimates to complete
• Work performance reports The physical or electronic representation of work performance information
compiled in project documents intended to generate decisions or raise issues actions or awareness
Examples include status reports memos justifications information notes electronic dashboards
recommendations and updates
Figure 35 illustrates the flow of project information across the various processes used to manage the project
Project
Execution
Work Performance Data
Controlling
Processes
Work Performance Information
Project
Management
Plan Updates Overall
Project
Control
Work Performance Reports
Project Team Members
Project Stakeholders
Project
Change
Control
Project
Management
Plan
Project
Communications
Change
Requests
Reports
Figure 35 Project Data Information and Report Flow60 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
3 PROJECT MANAGEMENT PROCESSES
39 Role of the Knowledge Areas
The 47 project management processes identified in the PMBOK® Guide are further grouped into ten separate
Knowledge Areas A Knowledge Area represents a complete set of concepts terms and activities that make up
a professional field project management field or area of specialization These ten Knowledge Areas are used on
most projects most of the time Project teams should utilize these ten Knowledge Areas and other Knowledge Areas
as appropriate for their specific project The Knowledge Areas are Project Integration Management Project Scope
Management Project Time Management Project Quality Management Project Human Resource Management
Project Communications Management Project Risk Management Project Procurement Management and Project
Stakeholder Management Each Knowledge Area within the PMBOK® Guide is contained in a separate section
The PMBOK® Guide defines the important aspects of each Knowledge Area and how it integrates with the
five Process Groups As supporting elements the Knowledge Areas provide a detailed description of the process
inputs and outputs along with a descriptive explanation of tools and techniques most frequently used within the
project management processes to produce each outcome A data flow diagram is provided in each Knowledge
Area (Sections 4 through 8) The data flow diagram is a summary level depiction of the process inputs and process
outputs that flow down through all the processes within a specific Knowledge Area (see Figure 36 for data flow
diagram legend) Although the processes are presented here as discrete elements with welldefined interfaces in
practice they are iterative and can overlap and interact in ways not detailed here
Table 31 reflects the mapping of the 47 project management processes within the 5 Project Management
Process Groups and the 10 Knowledge Areas
Process flow
The data flow diagrams show basic steps and interactions Many additional interactions are possible
Interknowledge area relationships
Extraknowledge area relationships
Processes within a
Knowledge Area
External to a Process
Process outside of
Knowledge Area
Figure 36 Data Flow Diagram Legend61©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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3 PROJECT MANAGEMENT PROCESSES
Table 31 Project Management Process Group and Knowledge Area Mapping
4 Project
Integration
Management
5 Project Scope
Management
6 Project Time
Management
7 Project Cost
Management
8 Project
Quality
Management
9 Project
Human Resource
Management
10 Project
Communications
Management
11 Project Risk
Management
12 Project
Procurement
Management
13 Project
Stakeholder
Management
Project Management Process Groups
Knowledge Areas Initiating
Process
Group
Closing
Process
Group
Monitoring
and Controlling
Process Group
Executing
Process
Group
Planning
Process
Group
41 Develop
Project Charter
131 Identify
Stakeholders
42 Develop Project
Management Plan
51 Plan Scope
Management
52 Collect
Requirements
53 Define Scope
54 Create WBS
61 Plan Schedule
Management
62 Define
Activities
63 Sequence
Activities
64 Estimate
Activity Resources
65 Estimate
Activity Durations
66 Develop
Schedule
71 Plan Cost
Management
72 Estimate Costs
73 Determine
Budget
81 Plan Quality
Management
91 Plan Human
Resource
Management
101 Plan
Communications
Management
111 Plan Risk
Management
112 Identify Risks
113 Perform
Qualitative Risk
Analysis
114 Perform
Quantitative Risk
Analysis
115 Plan Risk
Responses
121 Plan
Procurement
Management
132 Plan
Stakeholder
Management
43 Direct and
Manage Project
Work
82 Perform Quality
Assurance
92 Acquire Project
Team
93 Develop Project
Team
94 Manage Project
Team
102 Manage
Communications
122 Conduct
Procurements
133 Manage
Stakeholder
Engagement
44 Monitor and
Control Project
Work
45 Perform
Integrated Change
Control
55 Validate Scope
56 Control Scope
67 Control
Schedule
74 Control Costs
83 Control Quality
103 Control
Communications
116 Control Risks
123 Control
Procurements
134 Control
Stakeholder
Engagement
46 Close Project
or Phase
124 Close
Procurements63©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4PROJECT INTEGRATION MANAGEMENT
Project Integration Management includes the processes and activities to identify define combine unify and
coordinate the various processes and project management activities within the Project Management Process
Groups In the project management context integration includes characteristics of unification consolidation
communication and integrative actions that are crucial to controlled project execution through completion
successfully managing stakeholder expectations and meeting requirements Project Integration Management
includes making choices about resource allocation making tradeoffs among competing objectives and
alternatives and managing the interdependencies among the project management Knowledge Areas The
project management processes are usually presented as discrete processes with defined interfaces while in
practice they overlap and interact in ways that cannot be completely detailed in the PMBOK® Guide
Figure 41 provides an overview of the Project Integration Management processes which are as follows
41 Develop Project Charter—The process of developing a document that formally authorizes the
existence of a project and provides the project manager with the authority to apply organizational
resources to project activities
42 Develop Project Management Plan—The process of defining preparing and coordinating all
subsidiary plans and integrating them into a comprehensive project management plan The project’s
integrated baselines and subsidiary plans may be included within the project management plan
43 Direct and Manage Project Work—The process of leading and performing the work defined in the
project management plan and implementing approved changes to achieve the project’s objectives
44 Monitor and Control Project Work—The process of tracking reviewing and reporting project
progress against the performance objectives defined in the project management plan
45 Perform Integrated Change Control—The process of reviewing all change requests approving
changes and managing changes to deliverables organizational process assets project documents
and the project management plan and communicating their disposition
46 Close Project or Phase—The process of finalizing all activities across all of the Project Management
Process Groups to formally complete the phase or project
4464 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
These processes interact with each other and with processes in other Knowledge Areas as described in detail
in Section 3 and Annex A1
The need for Project Integration Management is necessary in situations where individual processes interact
For example a cost estimate needed for a contingency plan involves integrating the processes in the Project Cost
Time and Risk Management Knowledge Areas When additional risks associated with various staffing alternatives
are identified then one or more of those processes may be revisited The project deliverables may also need
integrating with ongoing operations of the performing organization the requesting organization and with the
longterm strategic planning that takes future problems and opportunities into consideration Project Integration
Management also includes the activities needed to manage project documents to ensure consistency with the
project management plan and product service or capability deliverables
Most experienced project management practitioners know there is no single way to manage a project They
apply project management knowledge skills and required processes in a preferred order and with varying rigor to
achieve the desired project performance However the determination that a particular process is not required does
not mean that it should not be addressed The project manager and project team need to address every process and
the project environment to determine the level of implementation for each process within the project If a project
has more than one phase the level of rigor applied within each of the project phases should be appropriate for each
phase This determination is also addressed by the project manager and project team
The integrative nature of projects and project management can be understood by thinking of other types of
activities performed while completing a project Examples of some activities performed by the project management
team are
• Develop review analyze and understand the scope This includes the project and product requirements
criteria assumptions constraints and other influences related to a project and how each will be managed
or addressed within the project
• Transform the collected project information into a project management plan using a structured approach
as described in the PMBOK® Guide
• Perform activities to produce project deliverables and
• Measure and monitor the project’s progress and take appropriate action to meet project objectives65©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
The links among the processes in the Project Management Process Groups are often iterative in nature For
example the Planning Process Group provides the Executing Process Group with a documented project management
plan early in the project and then updates the project management plan if changes occur as the project progresses
1 Inputs
1 Project statement of work
2 Business case
3 Agreements
4 Enterprise environmental
factors
5 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Facilitation techniques
3 Outputs
1 Project charter
1 Inputs
1 Project charter
2 Outputs from other
processes
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Facilitation techniques
3 Outputs
1 Project management plan
1 Inputs
1 Project management plan
2 Approved change requests
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Project management
information system
3 Meetings
3 Outputs
1 Deliverables
2 Work performance data
3 Change requests
4 Project management plan
updates
5 Project documents updates
1 Inputs
1 Project management plan
2 Schedule forecasts
3 Cost forecasts
4 Validated changes
5 Work performance
information
6 Enterprise environmental
factors
7 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Analytical techniques
3 Project management
information system
4 Meetings
3 Outputs
1 Change requests
2 Work performance reports
3 Project management plan
updates
4 Project documents updates
1 Inputs
1 Project management plan
2 Work performance reports
3 Change requests
4 Enterprise environmental
factors
5 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Meetings
3 Change control tools
3 Outputs
1 Approved change requests
2 Change log
3 Project management plan
updates
4 Project documents
updates
1 Inputs
1 Project management plan
2 Accepted deliverables
3 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Analytical techniques
3 Meetings
3 Outputs
1 Final product service or
result transition
2 Organizational process assets
updates
Project Integration
Management Overview
42 Develop Project
Management Plan
41 Develop Project
Charter
43 Direct and Manage
Project Work
44 Monitor and Control
Project Work
45 Perform Integrated
Change Control
46 Close Project or
Phase
Figure 41 Project Integration Management Overview66 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
41 Develop Project Charter
Develop Project Charter is the process of developing a document that formally authorizes the existence of a
project and provides the project manager with the authority to apply organizational resources to project activities
The key benefit of this process is a welldefined project start and project boundaries creation of a formal record of
the project and a direct way for senior management to formally accept and commit to the project The inputs tools
and techniques and outputs for this process are shown in Figure 42 Figure 43 depicts the data flow diagram of
the process
Inputs Tools & Techniques Outputs
1 Project statement of work
2 Business case
3 Agreements
4 Enterprise environmental
factors
5 Organizational process
assets
1 Expert judgment
2 Facilitation techniques
1 Project charter
Figure 42 Develop Project Charter Inputs Tools and Techniques and Outputs67©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
• Agreements
• Business case
• Project statement
of work
• Project
charter
• Organizational process
assets
• Enterprise
environmental factors
41
Develop Project
Charter
42
Develop Project
Management
Plan
Project Integration ManagementProject Initiator
Sponsor
Enterprise
Organization
53
Define Scope
52
Collect
Requirements
51
Plan Scope
Management
111
Plan Risk
Management
131
Identify
Stakeholders
71
Plan Cost
Management
61
Plan Schedule
Management
Figure 43 Develop Project Charter Data Flow Diagram
The project charter establishes a partnership between the performing and requesting organizations In the
case of external projects a formal contract is typically the preferred way to establish an agreement In this
case the project team becomes the seller responding to conditions of an offer to buy from an outside entity
A project charter is still used to establish internal agreements within an organization to assure proper delivery
under the contract The approved project charter formally initiates the project A project manager is identified
and assigned as early in the project as is feasible preferably while the project charter is being developed and
always prior to the start of planning The project charter should be authored by the sponsoring entity The project
charter provides the project manager with the authority to plan and execute the project It is recommended
that the project manager participate in the development of the project charter to obtain a foundational
understanding of the project requirements This understanding will better allow for efficient resources allocation
to project activities68 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
Projects are initiated by an entity external to the project such as a sponsor program or project management
office (PMO) staff person or a portfolio governing body chairperson or authorized representative The project
initiator or sponsor should be at the level that is appropriate to procure funding and commit resources to the
project Projects are initiated due to internal business needs or external influences These needs or influences
often trigger the creation of a needs analysis feasibility study business case or description of the situation that
the project will address Chartering a project validates alignment of the project to the strategy and ongoing work of
the organization A project charter is not considered to be a contract because there is no consideration or money
promised or exchanged in its creation
411 Develop Project Charter Inputs
4111 Project Statement of Work
The project statement of work (SOW) is a narrative description of products services or results to be delivered
by a project For internal projects the project initiator or sponsor provides the statement of work based on business
needs product or service requirements For external projects the statement of work can be received from the
customer as part of a bid document (eg a request for proposal request for information or request for bid) or as
part of a contract The SOW references the following
• Business need An organization’s business need may be based on a market demand technological
advance legal requirement government regulation or environmental consideration Typically the
business need and the costbenefit analysis are contained in the business case to justify the project
• Product scope description The product scope description documents the characteristics of the product
service or results that the project will be undertaken to create The description should also document
the relationship between the products services or results being created and the business need that the
project will address
• Strategic plan The strategic plan documents the organization’s strategic vision goals and objectives
and may contain a highlevel mission statement All projects should be aligned with their organization’s
strategic plan Strategic plan alignment ensures that each project contributes to the overall objections of
the organization69©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
4112 Business Case
The business case or similar document describes the necessary information from a business standpoint to
determine whether or not the project is worth the required investment It is commonly used for decision making
by managers or executives above the project level Typically the business need and the costbenefit analysis are
contained in the business case to justify and establish boundaries for the project and such analysis is usually
completed by a business analyst using various stakeholder inputs The sponsor should agree to the scope and
limitations of the business case The business case is created as a result of one or more of the following
• Market demand (eg a car company authorizing a project to build more fuelefficient cars in response
to gasoline shortages)
• Organizational need (eg due to high overhead costs a company may combine staff functions and
streamline processes to reduce costs)
• Customer request (eg an electric utility authorizing a project to build a new substation to serve a new
industrial park)
• Technological advance (eg an airline authorizing a new project to develop electronic tickets instead of
paper tickets based on technological advances)
• Legal requirement (eg a paint manufacturer authorizing a project to establish guidelines for handling
toxic materials)
• Ecological impacts (eg a company authorizing a project to lessen its environmental impact) or
• Social need (eg a nongovernmental organization in a developing country authorizing a project to provide
potable water systems latrines and sanitation education to communities suffering from high rates of
cholera)
Each of the examples in this list may contain elements of risk that should be addressed In the case of multiphase
projects the business case may be periodically reviewed to ensure that the project is on track to deliver the
business benefits In the early stages of the project life cycle periodic review of the business case by the sponsoring
organization also helps to confirm that the project is still aligned with the business case The project manager is
responsible for ensuring that the project effectively and efficiently meets the goals of the organization and those
requirements of a broad set of stakeholders as defined in the business case70 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4113 Agreements
Agreements are used to define initial intentions for a project Agreements may take the form of contracts
memorandums of understanding (MOUs) service level agreements (SLA) letter of agreements letters of intent
verbal agreements email or other written agreements Typically a contract is used when a project is being
performed for an external customer
4114 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Develop Project Charter
process include but are not limited to
• Governmental standards industry standards or regulations (eg codes of conduct quality standards
or worker protection standards)
• Organizational culture and structure and
• Marketplace conditions
4115 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Develop Project Charter
process include but are not limited to
• Organizational standard processes policies and process definitions
• Templates (eg project charter template) and
• Historical information and lessons learned knowledge base (eg projects records and documents all
project closure information and documentation information about both the results of previous project
selection decisions and previous project performance information and information from the risk
management activity)71©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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4
412 Develop Project Charter Tools and Techniques
4121 Expert Judgment
Expert judgment is often used to assess the inputs used to develop the project charter Expert judgment is
applied to all technical and management details during this process Such expertise is provided by any group or
individual with specialized knowledge or training and is available from many sources including
• Other units within the organization
• Consultants
• Stakeholders including customers or sponsors
• Professional and technical associations
• Industry groups
• Subject matter experts (SME) and
• Project management office (PMO)
4122 Facilitation Techniques
Facilitation techniques have broad application within project management processes and guide the
development of the project charter Brainstorming conflict resolution problem solving and meeting
management are examples of key techniques used by facilitators to help teams and individuals accomplish
project activities
413 Develop Project Charter Outputs
4131 Project Charter
The project charter is the document issued by the project initiator or sponsor that formally authorizes the
existence of a project and provides the project manager with the authority to apply organizational resources to
project activities It documents the business needs assumptions constraints the understanding of the customer’s
needs and highlevel requirements and the new product service or result that it is intended to satisfy such as72 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
• Project purpose or justification
• Measurable project objectives and related success criteria
• Highlevel requirements
• Assumptions and constraints
• Highlevel project description and boundaries
• Highlevel risks
• Summary milestone schedule
• Summary budget
• Stakeholder list
• Project approval requirements (ie what constitutes project success who decides the project is
successful and who signs off on the project)
• Assigned project manager responsibility and authority level and
• Name and authority of the sponsor or other person(s) authorizing the project charter
42 Develop Project Management Plan
Develop Project Management Plan is the process of defining preparing and coordinating all subsidiary plans
and integrating them into a comprehensive project management plan The key benefit of this process is a central
document that defines the basis of all project work The inputs tools and techniques and outputs for this process
are depicted in Figure 44 Figure 45 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project charter
2 Outputs from other
processes
3 Enterprise environmental
factors
4 Organizational process
assets
1 Expert judgment
2 Facilitation techniques
1 Project management plan
Figure 43 Develop Project Charter Data Flow Diagram73©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
• Project management plan
• Project charter
• Organizational process
assets
• Enterprise
environmental factors
• Communications management plan
• Cost management plan
• Human resource plan
• Procurement management plan
• Process improvement plan
• Quality management plan
• Requirements management plan
• Risk management plan
• Schedule management plan
• Scope management plan
• Stakeholder management plan
• Cost baseline
• Schedule baseline
• Scope baseline
• Project management plan updates
42
Develop Project
Management
Plan
Project Integration Management
61
Plan Schedule
Management
56
Control Scope
51
Plan Scope
Management
74
Control Costs
81
Plan Quality
Management
71
Plan Cost
Management
67
Control Schedule
103
Control
Communications
101
Plan
Communications
Management
91
Plan Human
Resource
Management
134
Control
Stakeholder
Engagement
132
Plan
Stakeholder
Management
124
Close
Procurements
123
Control
Procurements
121
Plan
Procurement
Management
116
Control Risks
111
Plan Risk
Management
43
Direct and
Manage
Project Work
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
46
Close Project
or Phase
Outputs from
Other Processes
Enterprise
Organization
41
Develop Project
Charter
Figure 45 Develop Project Management Plan Data Flow Diagram74 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
The project management plan defines how the project is executed monitored and controlled and closed The
project management plan’s content varies depending upon the application area and complexity of the project It
is developed through a series of integrated processes extending through project closure This process results in
a project management plan that is progressively elaborated by updates and controlled and approved through the
Perform Integrated Change Control (Section 45) process Projects that exist in the context of a program should
develop a project management plan that is consistent with the program management plan For example if the
program management plan indicates all changes exceeding a specified cost need to be reviewed by the change
control board (CCB) then this process and cost threshold needs to be defined in the project management plan
421 Develop Project Management Plan Inputs
4211 Project Charter
Described in Section 4131 The size of the project charter varies depending on the complexity of the
project and the information known at the time of its creation At a minimum the project charter should define
the highlevel boundaries of the project The project manager uses the project charter as the starting point
for initial planning throughout the Initiating Process Group
4212 Outputs from Other Processes
Outputs from many of the other processes described in Sections 5 through 13 are integrated to create the
project management plan Any baselines and subsidiary plans that are an output from other planning processes
are inputs to this process In addition changes to these documents may necessitate updates to the project
management plan
4213 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Develop Project
Management Plan process include but are not limited to
• Governmental or industry standards
• Project management body of knowledge for vertical market (eg construction) andor focus area
(eg environmental safety risk or agile software development)
• Project management information system (eg an automated tool such as a scheduling software tool a
configuration management system an information collection and distribution system or web interfaces
to other online automated systems)75©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
• Organizational structure culture management practices and sustainability
• Infrastructure (eg existing facilities and capital equipment) and
• Personnel administration (eg hiring and termination guidelines employee performance reviews and
employee development and training records)
4214 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Develop Project Management
Plan process include but are not limited to
• Standardized guidelines work instructions proposal evaluation criteria and performance measurement
criteria
• Project management plan template including
○○ Guidelines and criteria for tailoring the organization’s set of standard processes to satisfy the
specific needs of the project and
○○ Project closure guidelines or requirements such as the product validation and acceptance
criteria
• Change control procedures including the steps by which official organization standards policies plans
and procedures or any project documents will be modified and how any changes will be approved and
validated
• Project files from previous projects (eg scope cost schedule and performance measurement baselines
project calendars project schedule network diagrams and risk registers)
• Historical information and lessons learned knowledge base and
• Configuration management knowledge base containing the versions and baselines of all official
organization standards policies procedures and any project documents76 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
422 Develop Project Management Plan Tools and Techniques
4221 Expert Judgment
When developing the project management plan expert judgment is utilized to
• Tailor the process to meet the project needs
• Develop technical and management details to be included in the project management plan
• Determine resources and skill levels needed to perform project work
• Define the level of configuration management to apply on the project
• Determine which project documents will be subject to the formal change control process and
• Prioritize the work on the project to ensure the project resources are allocated to the appropriate work
at the appropriate time
4222 Facilitation Techniques
Described in Section 4122 Facilitation techniques have broad application within project management
processes and are used to guide the development of the project management plan Brainstorming conflict
resolution problem solving and meeting management are key techniques used by facilitators to help teams and
individuals achieve agreement to accomplish project activities
423 Develop Project Management Plan Outputs
4231 Project Management Plan
The project management plan is the document that describes how the project will be executed monitored and
controlled It integrates and consolidates all of the subsidiary plans and baselines from the planning processes
Project baselines include but are not limited to
• Scope baseline (Section 5431)
• Schedule baseline (Section 6631) and
• Cost baseline (Section 7331)77©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
Subsidiary plans include but are not limited to
• Scope management plan (Section 5131)
• Requirements management plan (Section 5132)
• Schedule management plan (Section 6131)
• Cost management plan (Section 7131)
• Quality management plan (Section 8131)
• Process improvement plan (Section 8132)
• Human resource management plan (Section 9131)
• Communications management plan (Section 10131)
• Risk management plan (Section 11131)
• Procurement management plan (Section 12131) and
• Stakeholder management plan (Section 13231)
Among other things the project management plan may also include the following
• Life cycle selected for the project and the processes that will be applied to each phase
• Details of the tailoring decisions specified by the project management team as follows
○○ Project management processes selected by the project management team
○○ Level of implementation for each selected process
○○ Descriptions of the tools and techniques to be used for accomplishing those processes and
○○ Description of how the selected processes will be used to manage the specific project including
the dependencies and interactions among those processes and the essential inputs and outputs
• Description of how work will be executed to accomplish the project objectives
• Change management plan that documents how changes will be monitored and controlled
• Configuration management plan that documents how configuration management will be performed
• Description of how the integrity of the project baselines will be maintained
• Requirements and techniques for communication among stakeholders and
• Key management reviews for content the extent of and timing to address open issues and pending
decisions78 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
The project management plan may be either summary level or detailed and may be composed of one or more
subsidiary plans Each of the subsidiary plans is detailed to the extent required by the specific project Once the
project management plan is baselined it may only be changed when a change request is generated and approved
through the Perform Integrated Change Control process
While the project management plan is one of the primary documents used to manage the project other project
documents are also used These other documents are not part of the project management plan Table 41 is a
representative list of the project management plan components and project documents
Table 41 Differentiation Between the Project Management Plan and Project Documents
Project DocumentsProject Management Plan
Change management plan
Communications management plan
Configuration management plan
Cost baseline
Cost management plan
Human resource management plan
Process improvement plan
Procurement management plan
Scope baseline
• Project scope statement
• WBS
• WBS dictionary
Quality management plan
Requirements management plan
Risk management plan
Schedule baseline
Schedule management plan
Scope management plan
Stakeholder management plan
Activity attributes
Activity cost estimates
Activity duration estimates
Activity list
Activity resource requirements
Agreements
Basis of estimates
Change log
Change requests
Forecasts
• Cost forecast
• Schedule forecast
Issue log
Milestone list
Procurement documents
Procurement statement of work
Project calendars
Project charter
Project funding requirements
Project schedule
Project schedule network diagrams
Project staff assignments
Project statement of work
Quality checklists
Quality control measurements
Quality metrics
Requirements documentation
Requirements traceability matrix
Resource breakdown structure
Resource calendars
Risk register
Schedule data
Seller proposals
Source selection criteria
Stakeholder register
Team performance assessments
Work performance data
Work performance information
Work performance reports79©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
43 Direct and Manage Project Work
Direct and Manage Project Work is the process of leading and performing the work defined in the project
management plan and implementing approved changes to achieve the project’s objectives The key benefit of this
process is that it provides overall management of the project work The inputs tools and techniques and outputs
of this process are depicted in Figure 46 Figure 47 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Approved change
requests
3 Enterprise environmental
factors
4 Organizational process
assets
1 Expert judgment
2 Project management
information system
3 Meetings
1 Deliverables
2 Work performance data
3 Change requests
4 Project management plan
updates
5 Project documents
updates
Figure 46 Direct and Manage Project Work Inputs Tools and Techniques and Outputs80 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
• Organizational process
assets
• Enterprise
environmental factors
• Project
management plan
• Approved
change requests
• Project
management
plan updates
• Project documents
updates
• Deliverables
• Work
performance
data
• Change requests
43
Direct and
Manage Project
Work
42
Develop Project
Management
Plan
103
Control
Communications
83
Control
Quality
116
Control Risks
123
Control
Procurements
134
Control
Stakeholder
Engagement
74
Control Costs
67
Control Schedule
56
Control Scope
55
Validate Scope
45
Perform
Integrated Change
Control
Project Integration Management
Enterprise
Organization
Project
Documents
Figure 47 direct and Manage Project Work data Flow diagram
Direct and Manage Project Work activities include but are not limited to
• Perform activities to accomplish project objectives
• Create project deliverables to meet the planned project work
• Provide train and manage the team members assigned to the project
• Obtain manage and use resources including materials tools equipment and facilities81©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
• Implement the planned methods and standards
• Establish and manage project communication channels both external and internal to the project team
• Generate work performance data such as cost schedule technical and quality progress and status to
facilitate forecasting
• Issue change requests and implement approved changes into the project’s scope plans and environment
• Manage risks and implement risk response activities
• Manage sellers and suppliers
• Manage stakeholders and their engagement and
• Collect and document lessons learned and implement approved process improvement activities
The project manager along with the project management team directs the performance of the planned project
activities and manages the various technical and organizational interfaces that exist within the project The project
manager should also manage any unplanned activities and determine the appropriate course of action The Direct
and Manage Project Work process is directly affected by the project application area Deliverables are produced
as outputs from processes performed to accomplish the project work as planned and scheduled in the project
management plan
During project execution the work performance data is collected and appropriately actioned and communicated
Work performance data includes information about the completion status of deliverables and other relevant
details about project performance The work performance data will also be used as an input to the Monitoring and
Controlling Process Group
Direct and Manage Project Work also requires review of the impact of all project changes and the implementation
of approved changes
• Corrective action—An intentional activity that realigns the performance of the project work with the
project management plan
• Preventive action—An intentional activity that ensures the future performance of the project work is
aligned with the project management plan andor
• Defect repair—An intentional activity to modify a nonconforming product or product component82 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
431 Direct and Manage Project Work Inputs
4311 Project Management Plan
Described in Section 4231 The project management plan contains subsidiary plans concerning all aspects of
the project Those subsidiary plans related to project work include but are not limited to
• Scope management plan (Section 5131)
• Requirements management plan (Section 5132)
• Schedule management plan (Section 6131)
• Cost management plan (Section 7131) and
• Stakeholder management plan (Section 13231)
4312 Approved Change Requests
Approved change requests are an output of the Perform Integrated Change Control process and include those
requests reviewed and approved for implementation by the change control board (CCB) The approved change
request may be a corrective action a preventative action or a defect repair Approved change requests are
scheduled and implemented by the project team and can impact any area of the project or project management
plan The approved change requests can also modify the policies project management plan procedures costs
or budgets or revise the schedules Approved change requests may require implementation of preventive or
corrective actions
4313 Enterprise Environmental Factors
Described in Section 215 The Direct and Manage Project Work process is influenced by enterprise
environmental factors that include but are not limited to
• Organizational company or customer culture and structure of the performing or sponsor organizations
• Infrastructure (eg existing facilities and capital equipment)
• Personnel administration (eg hiring and firing guidelines employee performance reviews and training
records)
• Stakeholder risk tolerances for example allowable cost overrun percentage and
• Project management information system (eg an automated tool suite such as a scheduling software
tool a configuration management system an information collection and distribution system or web
interfaces to other online automated systems)83©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
4314 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Direct and Manage Project
Work process include but are not limited to
• Standardized guidelines and work instructions
• Communication requirements defining allowed communication media record retention and security
requirements
• Issue and defect management procedures defining issue and defect controls issue and defect
identification and resolution and action item tracking
• Process measurement database used to collect and make available measurement data on processes
and products
• Project files from previous projects (eg scope cost schedule performance measurement baselines
project calendars project schedule network diagrams risk registers planned response actions defined
risk impact and documented lessons learned) and
• Issue and defect management database(s) containing historical issue and defect status control
information issue and defect resolution and action item results
432 Direct and Manage Project Work Tools and Techniques
4321 Expert Judgment
Expert judgment is used to assess the inputs needed to direct and manage execution of the project management
plan Such judgment and expertise are applied to all technical and management details during this process This
expertise is provided by the project manager and the project management team using specialized knowledge or
training Additional expertise is available from many sources including
• Other units within the organization
• Consultants and other subject matter experts (internal and external)
• Stakeholders including customers suppliers or sponsors and
• Professional and technical associations84 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4322 Project Management Information System
The project management information system which is part of the environmental factors provides access to
tools such as a scheduling tool a work authorization system a configuration management system an information
collection and distribution system or interfaces to other online automated systems Automated gathering and
reporting on key performance indicators (KPI) can be part of this system
4323 Meetings
Meetings are used to discuss and address pertinent topics of the project when directing and managing project
work Attendees at the meetings may include the project manager the project team and appropriate stakeholders
involved or affected by the topics addressed Each attendee should have a defined role to ensure appropriate
participation Meetings tend to be one of three types
• Information exchange
• Brainstorming option evaluation or design or
• Decision making
Meeting types should not be mixed as a best practice Meetings should be prepared with a welldefined agenda
purpose objective and time frame and should be appropriately documented with meeting minutes and action
items Meeting minutes should be stored as defined in the project management plan Meetings are most effective
when all participants can be facetoface in the same location Virtual meetings can be held using audio and
or video conferencing tools but generally require additional preparation and organization to achieve the same
effectiveness of a facetoface meeting
433 Direct and Manage Project Work Outputs
4331 Deliverables
A deliverable is any unique and verifiable product result or capability to perform a service that is required to be
produced to complete a process phase or project Deliverables are typically tangible components completed to
meet the project objectives and can include elements of the project management plan85©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
4332 Work Performance Data
Work performance data are the raw observations and measurements identified during activities being performed
to carry out the project work Data are often viewed as the lowest level of detail from which information is derived
by other processes Data is gathered through work execution and passed to the controlling processes of each
process area for further analysis
Examples of work performance data include work completed key performance indicators technical performance
measures start and finish dates of schedule activities number of change requests number of defects actual costs
and actual durations etc
4333 Change Requests
A change request is a formal proposal to modify any document deliverable or baseline An approved change
request will replace the associated document deliverable or baseline and may result in an update to other parts
of the project management plan When issues are found while project work is being performed change requests
are submitted which may modify project policies or procedures project scope project cost or budget project
schedule or project quality Other change requests cover the needed preventive or corrective actions to forestall
negative impact later in the project Requests for a change can be direct or indirect externally or internally initiated
and can be optional or legallycontractually mandated and may include
• Corrective action—An intentional activity that realigns the performance of the project work with the
project management plan
• Preventive action—An intentional activity that ensures the future performance of the project work is
aligned with the project management plan
• Defect repair—An intentional activity to modify a nonconforming product or product component andor
• Updates—Changes to formally controlled project documents plans etc to reflect modified or additional
ideas or content
4334 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to
• Scope management plan
• Requirements management plan
• Schedule management plan
• Cost management plan
• Quality management plan
• Process improvement plan86 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
• Human resource management plan
• Communications management plan
• Risk management plan
• Procurement management plan
• Stakeholder management plan and
• Project baselines
4335 Project Documents Updates
Project documents that may be updated include but are not limited to
• Requirements documentation
• Project logs (issues assumptions etc)
• Risk register and
• Stakeholder register
44 Monitor and Control Project Work
Monitor and Control Project Work is the process of tracking reviewing and reporting the progress to meet the
performance objectives defined in the project management plan The key benefit of this process is that it allows
stakeholders to understand the current state of the project the steps taken and budget schedule and scope
forecasts The inputs tools and techniques and outputs for this process are depicted in Figure 48 Figure 49
depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Schedule forecasts
3 Cost forecasts
4 Validated changes
5 Work performance
information
6 Enterprise environmental
factors
7 Organizational process
assets
1 Expert judgment
2 Analytical techniques
3 Project management
information system
4 Meetings
1 Change requests
2 Work performance
reports
3 Project management
plan updates
4 Project documents
updates
Figure 48 Monitor and Control Project Work Inputs Tools & Techniques and Outputs87©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
• Change
requests
• Work
performance
reports
• Schedule forecasts
• Work performance
information
• Cost forecasts
• Validated changes
• Project
management
plan updates
• Project
management
plan
• Project
documents updates
• Work
performance
reports
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
Project Integration Management
• Organizational
process assets
• Enterprise
environmental
factors
94
Manage
Project Team
102
Manage
Communications
116
Control Risks
123
Control
Procurements
Project
Documents
103
Control
Communications
56
Control Scope
55
Validate Scope
67
Control Schedule
74
Control Costs
123
Control
Procurements
116
Control Risks
83
Control Quality
134
Control
Stakeholder
Engagement
Enterprise
Organization
42
Develop Project
Management
Plan
Figure 49 Monitor and control Project Work data Flow diagram88 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
Monitoring is an aspect of project management performed throughout the project Monitoring includes collecting
measuring and distributing performance information and assessing measurements and trends to effect process
improvements Continuous monitoring gives the project management team insight into the health of the project and
identifies any areas that may require special attention Control includes determining corrective or preventive actions
or replanning and following up on action plans to determine whether the actions taken resolved the performance
issue The Monitor and Control Project Work process is concerned with
• Comparing actual project performance against the project management plan
• Assessing performance to determine whether any corrective or preventive actions are indicated and
then recommending those actions as necessary
• Identifying new risks and analyzing tracking and monitoring existing project risks to make sure the risks
are identified their status is reported and that appropriate risk response plans are being executed
• Maintaining an accurate timely information base concerning the project’s product(s) and their associated
documentation through project completion
• Providing information to support status reporting progress measurement and forecasting
• Providing forecasts to update current cost and current schedule information
• Monitoring implementation of approved changes as they occur and
• Providing appropriate reporting on project progress and status to program management when the project
is part of an overall program
441 Monitor and Control Project Work Inputs
4411 Project Management Plan
Described in Section 4231 Monitoring and controlling project work involves looking at all aspects of the
project Subsidiary plans within the project management plan form the basis for controlling the project Subsidiary
plans and baselines include but are not limited to89©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
• Scope management plan (Section 5131)
• Requirements management plan (Section 5132)
• Schedule management plan (Section 6131)
• Cost management plan (Section 7131)
• Quality management plan (Section 8131)
• Process improvement plan (Section 8132)
• Human resource management plan (Section 9131)
• Communications management plan (Section 10131)
• Risk management plan (Section 11131)
• Procurement management plan (Section 12131)
• Stakeholder management plan (Section 13231)
• Scope baseline (Section 5431)
• Schedule baseline (Section 6631) and
• Cost baseline (Section 7331)
4412 Schedule Forecasts
Described in Section 6732 The schedule forecasts are derived from progress against the schedule baseline
and computed time estimate to complete (ETC) This is typically expressed in terms of schedule variance (SV) and
schedule performance index (SPI) For projects not using earned value management variances against the planned
finish dates and forecasted finish dates are provided
The forecast may be used to determine if the project is still within defined tolerance ranges and identify any
necessary change requests
4413 Cost Forecasts
Described in Section 7432 The cost forecasts are derived from progress against the cost baseline and computed
estimates to complete (ETC) This is typically expressed in terms of cost variance (CV) and cost performance index
(CPI) An estimate at completion (EAC) can be compared to the budget at completion (BAC) to see if the project is
still within tolerance ranges or if a change request is required For projects not using earned value management
variances against the planned versus actual expenditures and forecasted final costs are provided90 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4414 Validated Changes
Described in Section 8332 Approved changes that result from the Perform Integrated Change Control process
require validation to ensure that the change was appropriately implemented A validated change provides the
necessary data to confirm that the change was appropriately executed
4415 Work Performance Information
Work performance information is the performance data collected from various controlling processes analyzed
in context and integrated based on relationships across areas Thus work performance data has been transformed
into work performance information Data in itself cannot be used in the decisionmaking process as it has only
outofcontext meaning Work performance information however is correlated and contextualized and provides a
sound foundation for project decisions
Work performance information is circulated through communication processes Examples of performance
information are status of deliverables implementation status for change requests and forecasted estimates to
complete
4416 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Monitor and Control
Project Work process include but are not limited to
• Governmental or industry standards (eg regulatory agency regulations codes of conduct product
standards quality standards and workmanship standards)
• Organization work authorization systems
• Stakeholder risk tolerances and
• Project management information system (eg an automated tool suite such as a scheduling software
tool a configuration management system an information collection and distribution system or web
interfaces to other online automated systems)91©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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4
4417 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Monitor and Control Project
Work process include but are not limited to
• Organizational communication requirements
• Financial controls procedures (eg time reporting required expenditure and disbursement reviews
accounting codes and standard contract provisions)
• Issue and defect management procedures defining issue and defect controls issue and defect
identification and resolution and action item tracking
• Change control procedures including those for scope schedule cost and quality variances
• Risk control procedures including risk categories probability definition and impact and probability and
impact matrix
• Process measurement database used to make available measurement data on processes and products
and
• Lessons learned database
442 Monitor and Control Project Work Tools and Techniques
4421 Expert Judgment
Expert judgment is used by the project management team to interpret the information provided by the monitor
and control processes The project manager in collaboration with the team determines the actions required to
ensure that project performance matches expectations
4422 Analytical Techniques
Analytical techniques are applied in project management to forecast potential outcomes based on possible
variations of project or environmental variables and their relationships with other variables Examples of analytical
techniques used in projects are
• Regression analysis
• Grouping methods
• Causal analysis92 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
• Root cause analysis
• Forecasting methods (eg time series scenario building simulation etc)
• Failure mode and effect analysis (FMEA)
• Fault tree analysis (FTA)
• Reserve analysis
• Trend analysis
• Earned value management and
• Variance analysis
4423 Project Management Information System
The project management information system which is part of enterprise environmental factors provides access
to automated tools such as scheduling cost and resourcing tools performance indicators databases project
records and financials used during the Monitor and Control Project Work process
4424 Meetings
Described in Section 4323 Meetings may be facetoface virtual formal or informal They may include
project team members stakeholders and others involved in or affected by the project Types of meetings include
but are not limited to user groups and review meetings
443 Monitor and Control Project Work Outputs
4431 Change Requests
As a result of comparing planned results to actual results change requests may be issued to expand adjust or
reduce project scope product scope or quality requirements and schedule or cost baselines Change requests may
necessitate the collection and documentation of new requirements Changes can impact the project management
plan project documents or product deliverables Changes that meet the project’s change control criteria should go
through the integrated change control process established for the project Changes may include but are not limited
to the following93©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
• Corrective action—An intentional activity that realigns the performance of the project work with the
project management plan
• Preventive action—An intentional activity that ensures the future performance of the project work is
aligned with the project management plan and
• Defect repair—An intentional activity to modify a nonconforming product or product component
4432 Work Performance Reports
Work performance reports are the physical or electronic representation of work performance information
compiled in project documents intended to generate decisions actions or awareness Project information may be
communicated verbally from person to person However in order to record store and sometimes distribute work
performance information a physical or electronic representation in the form of project documents is required Work
performance reports are a subset of project documents which are intended to create awareness and generate
decisions or actions Specific work performance metrics may be defined at the start of the project and included in
the normal work performance reports provided to key stakeholders
Examples of work performance reports include status reports memos justifications information notes
recommendations and updates
4433 Project Management Plan Updates
Changes identified during the Monitor and Control Project Work process may affect the overall project
management plan These changes after being processed through the appropriate change control process can lead
to project management plan updates Project management plan elements that may be updated include but are
not limited to
• Scope management plan (Section 5131)
• Requirements management plan (Section 5132)
• Schedule management plan (Section 6131)
• Cost management plan (Section 7131)
• Quality management plan (Section 8131)
• Scope baseline (Section 5431)
• Schedule baseline (Section 6631) and
• Cost baseline (Section 7331)94 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4434 Project Documents Updates
Project documents that may be updated include but are not limited to
• Schedule and cost forecasts
• Work performance reports and
• Issue log
45 Perform Integrated Change Control
Perform Integrated Change Control is the process of reviewing all change requests approving changes and
managing changes to deliverables organizational process assets project documents and the project management
plan and communicating their disposition It reviews all requests for changes or modifications to project documents
deliverables baselines or the project management plan and approves or rejects the changes The key benefit of
this process is that it allows for documented changes within the project to be considered in an integrated fashion
while reducing project risk which often arises from changes made without consideration to the overall project
objectives or plans The inputs tools and techniques and outputs of this process are depicted in Figure 410 Figure
411 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Work performance
reports
3 Change requests
4 Enterprise environmental
factors
5 Organizational process
assets
1 Expert judgment
2 Meetings
3 Change control tools
1 Approved change
requests
2 Change log
3 Project management plan
updates
4 Project documents
updates
Figure 410 Perform Integrated Change Control Inputs Tools & Techniques and Outputs95©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
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• Project management
plan
• Project management
plan updates
• Project documents
updates• Change requests
• Change requests
• Approved change
requests
• Change log
• Change requests
• Work performance
reports
Project Integration Management
• Organizational
process assets
• Enterprise
environmental
factors
83
Control
Quality
123
Control
Procurements
133
Manage
Stakeholder
Engagement
Project
Documents
83
Control Quality
82
Perform Quality
Assurance
74
Control Costs
67
Control Schedule
56
Control Scope
55
Validate Scope
116
Control Risks
122
Conduct
Procurements
103
Control
Communications
94
Manage
Project Team
123
Control
Procurements
133
Manage
Stakeholder
Engagement
134
Control
Stakeholder
Engagement
121
Plan
Procurement
Management
Enterprise
Organization
45
Perform
Integrated
Change Control
44
Monitor and
Control Project
Work
43
Direct and
Manage Project
Work
42
Develop Project
Management
Plan
Figure 411 Perform Integrated change control data Flow diagram96 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
The Perform Integrated Change Control process is conducted from project inception through completion and is
the ultimate responsibility of the project manager The project management plan the project scope statement and
other deliverables are maintained by carefully and continuously managing changes either by rejecting changes
or by approving changes thereby assuring that only approved changes are incorporated into a revised baseline
Changes may be requested by any stakeholder involved with the project Although changes may be initiated
verbally they should be recorded in written form and entered into the change management andor configuration
management system Change requests are subject to the process specified in the change control and configuration
control systems Those change request processes may require information on estimated time impacts and estimated
cost impacts
Every documented change request needs to be either approved or rejected by a responsible individual usually
the project sponsor or project manager The responsible individual will be identified in the project management plan
or by organizational procedures When required the Perform Integrated Change Control process includes a change
control board (CCB) which is a formally chartered group responsible for reviewing evaluating approving delaying
or rejecting changes to the project and for recording and communicating such decisions Approved change
requests can require new or revised cost estimates activity sequences schedule dates resource requirements
and analysis of risk response alternatives These changes can require adjustments to the project management
plan and other project documents The applied level of change control is dependent upon the application area
complexity of the specific project contract requirements and the context and environment in which the project is
performed Customer or sponsor approval may be required for certain change requests after CCB approval unless
they are part of the CCB
Configuration control is focused on the specification of both the deliverables and the processes while change
control is focused on identifying documenting and approving or rejecting changes to the project documents
deliverables or baselines
Some of the configuration management activities included in the Perform Integrated Change Control process
are as follows
• Configuration identification Identification and selection of a configuration item to provide the basis for
which the product configuration is defined and verified products and documents are labeled changes
are managed and accountability is maintained97©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Configuration status accounting Information is recorded and reported as to when appropriate
data about the configuration item should be provided This information includes a listing of approved
configuration identification status of proposed changes to the configuration and the implementation
status of approved changes
• Configuration verification and audit Configuration verification and configuration audits ensure the
composition of a project’s configuration items is correct and that corresponding changes are registered
assessed approved tracked and correctly implemented This ensures the functional requirements
defined in the configuration documentation have been met
451 Perform Integrated Change Control Inputs
4511 Project Management Plan
Described in Section 4231 Elements of the project management plan that may be used include but are not
limited to
• Scope management plan which contains the procedures for scope changes
• Scope baseline which provides product definition and
• Change management plan which provides the direction for managing the change control process and
documents the formal change control board (CCB)
Changes are documented and updated within the project management plan as part of the change and
configuration management processes
4512 Work Performance Reports
Described in Section 4432 Work performance reports of particular interest to the Perform Integrated Change
Control process include resource availability schedule and cost data and earned value management (EVM) reports
burnup or burndown charts
4513 Change Requests
All of the Monitoring and Controlling processes and many of the Executing processes produce change requests
as an output Change requests may include corrective action preventive action and defect repairs However
corrective and preventive actions do not normally affect the project baselines—only the performance against the
baselines98 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4514 Enterprise Environmental Factors
Described in Section 215 The following enterprise environmental factor can influence the Perform Integrated
Change Control process project management information system The project management information system
may include the scheduling software tool a configuration management system an information collection and
distribution system or web interfaces to other online automated systems
4515 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Perform Integrated Change
Control process include but are not limited to
• Change control procedures including the steps by which official organization standards policies plans
and other project documents will be modified and how any changes will be approved validated and
implemented
• Procedures for approving and issuing change authorizations
• Process measurement database used to collect and make available measurement data on processes
and products
• Project documents (eg scope cost and schedule baselines project calendars project schedule network
diagrams risk registers planned response actions and defined risk impact) and
• Configuration management knowledge base containing the versions and baselines of all official
organization standards policies procedures and any project documents
452 Perform Integrated Change Control Tools and Techniques
4521 Expert Judgment
In addition to the project management team’s expert judgment stakeholders may be asked to provide their
expertise and may be asked to sit on the change control board (CCB) Such judgment and expertise are applied to
any technical and management details during this process and may be provided by various sources for example99©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
• Consultants
• Stakeholders including customers or sponsors
• Professional and technical associations
• Industry groups
• Subject matter experts (SMEs) and
• Project management office (PMO)
4522 Meetings
In this case these meetings are usually referred to as change control meetings When needed for the project a
change control board (CCB) is responsible for meeting and reviewing the change requests and approving rejecting
or other disposition of those changes The CCB may also review configuration management activities The roles and
responsibilities of these boards are clearly defined and agreed upon by appropriate stakeholders and documented
in the change management plan CCB decisions are documented and communicated to the stakeholders for
information and followup actions
4523 Change Control Tools
In order to facilitate configuration and change management manual or automated tools may be used Tool
selection should be based on the needs of the project stakeholders including organizational and environmental
considerations andor constraints
Tools are used to manage the change requests and the resulting decisions Additional considerations should
be made for communication to assist the CCB members in their duties as well as distribute the decisions to the
appropriate stakeholders
453 Perform Integrated Change Control Outputs
4531 Approved Change Requests
Change requests are processed according to the change control system by the project manager CCB or by an
assigned team member Approved change requests will be implemented through the Direct and Manage Project
Work process The disposition of all change requests approved or not will be updated in the change log as part of
updates to the project documents100 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4532 Change Log
A change log is used to document changes that occur during a project These changes and their impact to
the project in terms of time cost and risk are communicated to the appropriate stakeholders Rejected change
requests are also captured in the change log
4533 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to
• Any subsidiary plans and
• Baselines that are subject to the formal change control process
Changes to baselines should only show the changes from the current time forward Past performance may not
be changed This protects the integrity of the baselines and the historical data of past performance
4534 Project Documents Updates
Project documents that may be updated as a result of the Perform Integrated Change Control process include
all documents specified as being subject to the project’s formal change control process
46 Close Project or Phase
Close Project or Phase is the process of finalizing all activities across all of the Project Management Process
Groups to formally complete the project or phase The key benefit of this process is that it provides lessons learned
the formal ending of project work and the release of organization resources to pursue new endeavors The inputs
tools and techniques and outputs of this process are depicted in Figure 412 Figure 413 depicts the data flow
diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Accepted deliverables
3 Organizational process
assets
1 Expert judgment
2 Analytical techniques
3 Meetings
1 Final product service or
result transition
2 Organizational process
assets updates
Figure 412 Close Project or Phase Inputs Tools & Techniques and Outputs101©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4• Project
charter
46
Close Project
or Phase
42
Develop Project
Management
Plan
Project Integration Management
Enterprise
Organization
Customer
55
Validate Scope
• Project
management
plan
• Accepted
deliverables
• Organizational
process
assets
• Organizational process
assets updates
• Final product
service or result
transition
Figure 413 Close Project or Phase Data Flow Diagram
When closing the project the project manager reviews all prior information from the previous phase closures to
ensure that all project work is completed and that the project has met its objectives Since project scope is measured
against the project management plan the project manager reviews the scope baseline to ensure completion before
considering the project closed The Close Project or Phase process also establishes the procedures to investigate
and document the reasons for actions taken if a project is terminated before completion In order to successfully
achieve this the project manager needs to engage all the proper stakeholders in the process
This includes all planned activities necessary for administrative closure of the project or phase including step
bystep methodologies that address
• Actions and activities necessary to satisfy completion or exit criteria for the phase or project
• Actions and activities necessary to transfer the project’s products services or results to the next phase
or to production andor operations and
• Activities needed to collect project or phase records audit project success or failure gather lessons
learned and archive project information for future use by the organization102 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
461 Close Project or Phase Inputs
4611 Project Management Plan
Described in Section 4231 The project management plan becomes the agreement between the project
manager and project sponsor defining what constitutes project completion
4612 Accepted Deliverables
Described in Section 55 Accepted deliverables may include approved product specifications delivery
receipts and work performance documents Partial or interim deliverables may also be included for phased or
cancelled projects
4613 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Close Project or Phase
process include but are not limited to
• Project or phase closure guidelines or requirements (eg administrative procedures project audits
project evaluations and transition criteria) and
• Historical information and lessons learned knowledge base (eg project records and documents all
project closure information and documentation information about both the results of previous project
selection decisions and previous project performance information and information from risk management
activities)
462 Close Project or Phase Tools and Techniques
4621 Expert Judgment
Expert judgment is applied when performing administrative closure activities These experts ensure the project
or phase closure is performed to the appropriate standards Expertise is available from many sources including
but not limited to
• Other project managers within the organization
• Project management office (PMO) and
• Professional and technical associations103©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
4
4622 Analytical Techniques
Described in Section 4422 Examples of analytical techniques used in project closeout are
• Regression analysis and
• Trend analysis
4623 Meetings
Described in Section 4323 Meetings may be facetoface virtual formal or informal This may include project
team members and other stakeholders involved in or affected by the project Types of meetings include but are not
limited to lessons learned closeout user group and review meetings
463 Close Project or Phase Outputs
4631 Final Product Service or Result Transition
This output refers to the transition of the final product service or result that the project was authorized to
produce (or in the case of phase closure the intermediate product service or result of that phase)
4632 Organizational Process Assets Updates
The organizational process assets that are updated as a result of the Close Project or Phase process include
but are not limited to104 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
4 PROJECT INTEGRATION MANAGEMENT
• Project files—Documentation resulting from the project’s activities for example project management
plan scope cost schedule and project calendars risk registers and other registers change management
documentation planned risk response actions and risk impact
• Project or phase closure documents—Project or phase closure documents consisting of formal
documentation that indicates completion of the project or phase and the transfer of the completed
project or phase deliverables to others such as an operations group or to the next phase During project
closure the project manager reviews prior phase documentation customer acceptance documentation
from the Validate Scope process (Section 54) and the contract (if applicable) to ensure that all project
requirements are completed prior to finalizing the closure of the project If the project was terminated
prior to completion the formal documentation indicates why the project was terminated and formalizes
the procedures for the transfer of the finished and unfinished deliverables of the cancelled project to
others
• Historical information—Historical information and lessons learned information are transferred to the
lessons learned knowledge base for use by future projects or phases This can include information on
issues and risks as well as techniques that worked well that can be applied to future projects105©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
PROJECT SCOPE MANAGEMENT
Project Scope Management includes the processes required to ensure that the project includes all the work
required and only the work required to complete the project successfully Managing the project scope is primarily
concerned with defining and controlling what is and is not included in the project
Figure 51 provides an overview of the Project Scope Management processes which include the following
51 Plan Scope Management—The process of creating a scope management plan that documents how
the project scope will be defined validated and controlled
52 Collect Requirements—The process of determining documenting and managing stakeholder needs
and requirements to meet project objectives
53 Define Scope—The process of developing a detailed description of the project and product
54 Create WBS—The process of subdividing project deliverables and project work into smaller more
manageable components
55 Validate Scope—The process of formalizing acceptance of the completed project deliverables
56 Control Scope—The process of monitoring the status of the project and product scope and managing
changes to the scope baseline
These processes interact with each other and with processes in other Knowledge Areas as described in detail
in Section 3 and Annex A1
In the project context the term scope can refer to
• Product scope The features and functions that characterize a product service or result andor
• Project scope The work performed to deliver a product service or result with the specified features and
functions The term project scope is sometimes viewed as including product scope
The processes used to manage project scope as well as the supporting tools and techniques can vary
by project The scope baseline for the project is the approved version of the project scope statement work
breakdown structure (WBS) and its associated WBS dictionary A baseline can be changed only through formal
change control procedures and is used as a basis for comparison while performing Validate Scope and Control
Scope processes as well as other controlling processes
55106 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
Completion of the project scope is measured against the project management plan (Section 4231) Completion
of the product scope is measured against the product requirements (Section 52) The Project Scope Management
processes need to be well integrated with the other Knowledge Area processes so that the work of the project will
result in delivery of the specified product scope
1 Inputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Meetings
3 Outputs
1 Scope management plan
2 Requirements management
plan
1 Inputs
1 Scope management plan
2 Requirements management
plan
3 Stakeholder management plan
4 Project charter
5 Stakeholder register
2 Tools & Techniques
1 Interviews
2 Focus groups
3 Facilitated workshops
4 Group creativity techniques
5 Group decisionmaking
techniques
6 Questionnaires and surveys
7 Observations
8 Prototypes
9 Benchmarking
10 Context diagrams
11 Document analysis
3 Outputs
1 Requirements documentation
2 Requirements traceability
matrix
1 Inputs
1 Scope management plan
2 Project charter
3 Requirements documentation
4 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Product analysis
3 Alternatives generation
4 Facilitated workshops
3 Outputs
1 Project scope statement
2 Project documents updates
1 Inputs
1 Scope management plan
2 Project scope statement
3 Requirements documentation
4 Enterprise environmental
factors
5 Organizational process
assets
2 Tools & Techniques
1 Decomposition
2 Expert judgment
3 Outputs
1 Scope baseline
2 Project documents updates
1 Inputs
1 Project management plan
2 Requirements documentation
3 Requirements traceability
matrix
4 Verified deliverables
5 Work performance data
2 Tools & Techniques
1 Inspection
2 Group decisionmaking
techniques
3 Outputs
1 Accepted deliverables
2 Change requests
3 Work performance information
4 Project documents updates
1 Inputs
1 Project management plan
2 Requirements documentation
3 Requirements traceability
matrix
4 Work performance data
5 Organizational process assets
2 Tools & Techniques
1 Variance analysis
3 Outputs
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents updates
5 Organizational process assets
updates
Project Scope Management
Overview
52 Collect
Requirements
51 Plan Scope
Management 53 Define Scope
54 Create WBS
55 Validate Scope
56 Control Scope
Figure 51 Project Scope Management Overview107©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
51 Plan Scope Management
Plan Scope Management is the process of creating a scope management plan that documents how the project
scope will be defined validated and controlled The key benefit of this process is that it provides guidance and
direction on how scope will be managed throughout the project The inputs tools and techniques and outputs of
this process are depicted in Figure 52 Figure 53 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process
assets
1 Expert judgment
2 Meetings
1 Scope management plan
2 Requirements
management plan
Figure 52 Plan Scope Management Inputs Tools & Techniques and Outputs
51
Plan Scope
Management
52
Collect
Requirements
53
Define
Scope
54
Create
WBS
Project Scope Management
Enterprise
Organization
41
Develop Project
Charter
42
Develop Project
Management
Plan
• Project charter
• Project
management
plan • Scope
management
plan
• Requirements
management
plan
• Enterprise
environmental factors
• Organizational
process assets
Figure 53 Plan Scope Management Data Flow Diagram108 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
The scope management plan is a component of the project or program management plan that describes how the
scope will be defined developed monitored controlled and verified The development of the scope management
plan and the detailing of the project scope begin with the analysis of information contained in the project charter
(Section 4131) the latest approved subsidiary plans of the project management plan (Section 4231) historical
information contained in the organizational process assets (Section 214) and any other relevant enterprise
environmental factors (Section 215) This plan helps reduce the risk of project scope creep
511 Plan Scope Management Inputs
5111 Project Management Plan
Described in Section 4231 Approved subsidiary plans of the project management plan are used to create the
scope management plan and influence the approach taken for planning scope and managing project scope
5112 Project Charter
Described in Section 4131 The project charter is used to provide the project context needed to plan the scope
management processes It provides the highlevel project description and product characteristics from the project
statement of work
5113 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Plan Scope Management
process include but are not limited to
• Organization’s culture
• Infrastructure
• Personnel administration and
• Marketplace conditions109©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
5114 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Plan Scope Management
process include but are not limited to
• Policies and procedures and
• Historical information and lessons learned knowledge base
512 Plan Scope Management Tools and Techniques
5121 Expert Judgment
Expert judgment refers to input received from knowledgeable and experienced parties Expertise may be
provided by any group or person with specialized education knowledge skill experience or training in developing
scope management plans
5122 Meetings
Project teams may attend project meetings to develop the scope management plan Attendees at these
meetings may include the project manager the project sponsor selected project team members selected
stakeholders anyone with responsibility for any of the scope management processes and others as needed
513 Plan Scope Management Outputs
5131 Scope Management Plan
The scope management plan is a component of the project or program management plan that describes how the
scope will be defined developed monitored controlled and verified The scope management plan is a major input
into the Develop Project Management Plan process and the other scope management processes The components
of a scope management plan include110 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
• Process for preparing a detailed project scope statement
• Process that enables the creation of the WBS from the detailed project scope statement
• Process that establishes how the WBS will be maintained and approved
• Process that specifies how formal acceptance of the completed project deliverables will be obtained and
• Process to control how requests for changes to the detailed project scope statement will be processed
This process is directly linked to the Perform Integrated Change Control process (Section 45)
The scope management plan can be formal or informal broadly framed or highly detailed based on the needs
of the project
5132 Requirements Management Plan
The requirements management plan is a component of the project management plan that describes how
requirements will be analyzed documented and managed The phasetophase relationship described in
Section 2421 strongly influences how requirements are managed The project manager chooses the most
effective relationship for the project and documents this approach in the requirements management plan Many of
the requirements management plan components are based on that relationship
Components of the requirements management plan can include but are not limited to
• How requirements activities will be planned tracked and reported
• Configuration management activities such as how changes to the product will be initiated how impacts
will be analyzed how they will be traced tracked and reported as well as the authorization levels
required to approve these changes
• Requirements prioritization process
• Product metrics that will be used and the rationale for using them and
• Traceability structure to reflect which requirement attributes will be captured on the traceability matrix
52 Collect Requirements
Collect Requirements is the process of determining documenting and managing stakeholder needs and
requirements to meet project objectives The key benefit of this process is that it provides the basis for defining and
managing the project scope including product scope The inputs tools and techniques and outputs of this process
are depicted in Figure 54 Figure 55 depicts the data flow diagram of the process111©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
Inputs Tools & Techniques Outputs
1 Scope management plan
2 Requirements
management plan
3 Stakeholder management
plan
4 Project charter
5 Stakeholder register
1 Interviews
2 Focus groups
3 Facilitated workshops
4 Group creativity
techniques
5 Group decisionmaking
techniques
6 Questionnaires and
surveys
7 Observations
8 Prototypes
9 Benchmarking
10 Context diagrams
11 Document analysis
1 Requirements
documentation
2 Requirements traceability
matrix
Figure 54 collect requirements Inputs tools & techniques and outputs
• Change log
Project Scope Management
52
Collect
Requirements
51
Plan Scope
Management
53
Define
Scope
54
Create
WBS
55
Validate
Scope
56
Control
Scope
• Project charter
• Stakeholder
register • Stakeholder
management plan
• Requirements
documentation
• Requirements
management plan
• Scope management plan
• Requirements traceability
matrix
131
Identify
Stakeholders
132
Plan
Stakeholder
Management
81
Plan Quality
Management
121
Plan
Procurement
Management
41
Develop Project
Charter
Figure 55 collect requirements data Flow diagram112 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
The project’s success is directly influenced by active stakeholder involvement in the discovery and decomposition
of needs into requirements and by the care taken in determining documenting and managing the requirements
of the product service or result of the project Requirements include conditions or capabilities that are to be
met by the project or present in the product service or result to satisfy an agreement or other formally imposed
specification Requirements include the quantified and documented needs and expectations of the sponsor
customer and other stakeholders These requirements need to be elicited analyzed and recorded in enough detail
to be included in the scope baseline and to be measured once project execution begins Requirements become
the foundation of the WBS Cost schedule quality planning and sometimes procurement are all based upon
these requirements The development of requirements begins with an analysis of the information contained in the
project charter (Section 4131) the stakeholder register (Section 13131) and the stakeholder management plan
(Section 13231)
Many organizations categorize requirements into different types such as business and technical solutions the
former referring to stakeholder needs and the latter as to how those needs will be implemented Requirements can
be grouped into classifications allowing for further refinement and detail as the requirements are elaborated These
classifications include
• Business requirements which describe the higherlevel needs of the organization as a whole such as the
business issues or opportunities and reasons why a project has been undertaken
• Stakeholder requirements which describe needs of a stakeholder or stakeholder group
• Solution requirements which describe features functions and characteristics of the product service
or result that will meet the business and stakeholder requirements Solution requirements are further
grouped into functional and nonfunctional requirements
○○ Functional requirements describe the behaviors of the product Examples include processes
data and interactions with the product
○○ Nonfunctional requirements supplement functional requirements and describe the environmental
conditions or qualities required for the product to be effective Examples include reliability
security performance safety level of service supportability retentionpurge etc
• Transition requirements describe temporary capabilities such as data conversion and training
requirements needed to transition from the current asis state to the future tobe state
• Project requirements which describe the actions processes or other conditions the project needs
to meet
• Quality requirements which capture any condition or criteria needed to validate the successful completion
of a project deliverable or fulfillment of other project requirements113©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
521 Collect Requirements Inputs
5211 Scope Management Plan
Described in Section 5131 The scope management plan provides clarity as to how project teams will determine
which type of requirements need to be collected for the project
5212 Requirements Management Plan
Described in Section 5132 The requirements management plan provides the processes that will be used
throughout the Collect Requirements process to define and document the stakeholder needs
5213 Stakeholder Management Plan
Described in Section 13231 The stakeholder management plan is used to understand stakeholder
communication requirements and the level of stakeholder engagement in order to assess and adapt to the level of
stakeholder participation in requirements activities
5214 Project Charter
Described in Section 4131 The project charter is used to provide the highlevel description of the product
service or result of the project so that detailed requirements can be developed
5215 Stakeholder Register
Described in Section 13131 The stakeholder register is used to identify stakeholders who can provide
information on the requirements The stakeholder register also captures major requirements and main expectations
stakeholders may have for the project114 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
522 Collect Requirements Tools and Techniques
5221 Interviews
An interview is a formal or informal approach to elicit information from stakeholders by talking to them directly
It is typically performed by asking prepared and spontaneous questions and recording the responses Interviews
are often conducted on an individual basis between an interviewer and an interviewee but may involve multiple
interviewers andor multiple interviewees Interviewing experienced project participants sponsors and other
executives and subject matter experts can aid in identifying and defining the features and functions of the desired
product deliverables Interviews are also useful for obtaining confidential information
5222 Focus Groups
Focus groups bring together prequalified stakeholders and subject matter experts to learn about their
expectations and attitudes about a proposed product service or result A trained moderator guides the group
through an interactive discussion designed to be more conversational than a oneonone interview
5223 Facilitated Workshops
Facilitated workshops are focused sessions that bring key stakeholders together to define product requirements
Workshops are considered a primary technique for quickly defining crossfunctional requirements and reconciling
stakeholder differences Because of their interactive group nature wellfacilitated sessions can build trust foster
relationships and improve communication among the participants which can lead to increased stakeholder
consensus In addition issues can be discovered earlier and resolved more quickly than in individual sessions
For example facilitated workshops called joint application designdevelopment (JAD) sessions are used in the
software development industry These facilitated sessions focus on bringing business subject matter experts and
the development team together to improve the software development process In the manufacturing industry quality
function deployment (QFD) is another example of a facilitated workshop technique that helps determine critical
characteristics for new product development QFD starts by collecting customer needs also known as voice of the
customer (VOC) These needs are then objectively sorted and prioritized and goals are set for achieving them User
stories which are short textual descriptions of required functionality are often developed during a requirements
workshop User stories describe the stakeholder who benefits from the feature (role) what the stakeholder needs to
accomplish (goal) and the benefit to the stakeholder (motivation) User stories are widely used with agile methods115©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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5224 Group Creativity Techniques
Several group activities can be organized to identify project and product requirements Some of the group
creativity techniques that can be used are
• Brainstorming A technique used to generate and collect multiple ideas related to project and product
requirements Although brainstorming by itself does not include voting or prioritization it is often used
with other group creativity techniques that do
• Nominal group technique A technique that enhances brainstorming with a voting process used to rank
the most useful ideas for further brainstorming or for prioritization
• Ideamind mapping A technique in which ideas created through individual brainstorming sessions are
consolidated into a single map to reflect commonality and differences in understanding and generate
new ideas
• Affinity diagram A technique that allows large numbers of ideas to be classified into groups for review
and analysis
• Multicriteria decision analysis A technique that utilizes a decision matrix to provide a systematic
analytical approach for establishing criteria such as risk levels uncertainty and valuation to evaluate
and rank many ideas
5225 Group DecisionMaking Techniques
A group decisionmaking technique is an assessment process having multiple alternatives with an expected
outcome in the form of future actions These techniques can be used to generate classify and prioritize product
requirements
There are various methods of reaching a group decision such as
• Unanimity A decision that is reached whereby everyone agrees on a single course of action One way to
reach unanimity is the Delphi technique in which a selected group of experts answers questionnaires and
provides feedback regarding the responses from each round of requirements gathering The responses
are only available to the facilitator to maintain anonymity
• Majority A decision that is reached with support obtained from more than 50 of the members of the
group Having a group size with an uneven number of participants can ensure that a decision will be
reached rather than resulting in a tie
• Plurality A decision that is reached whereby the largest block in a group decides even if a majority is
not achieved This method is generally used when the number of options nominated is more than two
• Dictatorship In this method one individual makes the decision for the group116 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
All of these group decisionmaking techniques can be applied to the group creativity techniques used in the
Collect Requirements process
5226 Questionnaires and Surveys
Questionnaires and surveys are written sets of questions designed to quickly accumulate information from a
large number of respondents Questionnaires andor surveys are most appropriate with varied audiences when
a quick turnaround is needed when respondents are geographically dispersed and where statistical analysis is
appropriate
5227 Observations
Observations provide a direct way of viewing individuals in their environment and how they perform their jobs or
tasks and carry out processes It is particularly helpful for detailed processes when the people that use the product
have difficulty or are reluctant to articulate their requirements Observation is also known as job shadowing
It is usually done externally by an observer viewing a business expert performing a job It can also be done by
a participant observer who actually performs a process or procedure to experience how it is done to uncover
hidden requirements
5228 Prototypes
Prototyping is a method of obtaining early feedback on requirements by providing a working model of the
expected product before actually building it Since a prototype is tangible it allows stakeholders to experiment
with a model of the final product rather than being limited to discussing abstract representations of their
requirements Prototypes support the concept of progressive elaboration in iterative cycles of mockup creation
user experimentation feedback generation and prototype revision When enough feedback cycles have been
performed the requirements obtained from the prototype are sufficiently complete to move to a design or build
phase Storyboarding is a prototyping technique showing sequence or navigation through a series of images or
illustrations Storyboards are used on a variety of projects in a variety of industries such as film advertising
instructional design and on agile and other software development projects In software development storyboards
use mockups to show navigation paths through webpages screens or other user interfaces
5229 Benchmarking
Benchmarking involves comparing actual or planned practices such as processes and operations to those
of comparable organizations to identify best practices generate ideas for improvement and provide a basis for
measuring performance The organizations compared during benchmarking can be internal or external117©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
52210 Context Diagrams
The context diagram is an example of a scope model Context diagrams visually depict the product scope by
showing a business system (process equipment computer system etc) and how people and other systems
(actors) interact with it Context diagrams show inputs to the business system the actor(s) providing the input the
outputs from the business system and the actor(s) receiving the output
52211 Document Analysis
Document analysis is used to elicit requirements by analyzing existing documentation and identifying
information relevant to the requirements There are a wide range of documents that may be analyzed to help elicit
relevant requirements Examples of documents that may be analyzed include but are not limited to business plans
marketing literature agreements requests for proposal current process flows logical data models business rules
repositories application software documentation business process or interface documentation use cases other
requirements documentation problemissue logs policies procedures and regulatory documentation such as
laws codes or ordinances etc
523 Collect Requirements Outputs
5231 Requirements Documentation
Requirements documentation describes how individual requirements meet the business need for the project
Requirements may start out at a high level and become progressively more detailed as more about the requirements
is known Before being baselined requirements need to be unambiguous (measurable and testable) traceable
complete consistent and acceptable to key stakeholders The format of a requirements document may range from
a simple document listing all the requirements categorized by stakeholder and priority to more elaborate forms
containing an executive summary detailed descriptions and attachments
Components of requirements documentation can include but are not limited to
• Business requirements including
○○ Business and project objectives for traceability
○○ Business rules for the performing organization and
○○ Guiding principles of the organization118 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
• Stakeholder requirements including
○○ Impacts to other organizational areas
○○ Impacts to other entities inside or outside the performing organization and
○○ Stakeholder communication and reporting requirements
• Solution requirements including
○○ Functional and nonfunctional requirements
○○ Technology and standard compliance requirements
○○ Support and training requirements
○○ Quality requirements and
○○ Reporting requirements etc (solution requirements can be documented textually in models
or both)
• Project requirements such as
○○ Levels of service performance safety compliance etc and
○○ Acceptance criteria
• Transition requirements
• Requirements assumptions dependencies and constraints
5232 Requirements Traceability Matrix
The requirements traceability matrix is a grid that links product requirements from their origin to the
deliverables that satisfy them The implementation of a requirements traceability matrix helps ensure that each
requirement adds business value by linking it to the business and project objectives It provides a means
to track requirements throughout the project life cycle helping to ensure that requirements approved in the
requirements documentation are delivered at the end of the project Finally it provides a structure for managing
changes to the product scope
Tracing includes but is not limited to tracing requirements for the following119©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
• Business needs opportunities goals and objectives
• Project objectives
• Project scopeWBS deliverables
• Product design
• Product development
• Test strategy and test scenarios and
• Highlevel requirements to more detailed requirements
Attributes associated with each requirement can be recorded in the requirements traceability matrix These
attributes help to define key information about the requirement Typical attributes used in the requirements
traceability matrix may include a unique identifier a textual description of the requirement the rationale
for inclusion owner source priority version current status (such as active cancelled deferred added
approved assigned completed) and status date Additional attributes to ensure that the requirement has met
stakeholders’ satisfaction may include stability complexity and acceptance criteria Figure 56 provides an
example of a requirements traceability matrix with its associated attributes
Requirements Traceability Matrix
Requirements DescriptionID
Business Needs
Opportunities
Goals Objectives
Project
Objectives
Associate
ID
WBS
Deliverables
Product
Design
Product
Development
Test
Cases
Programs PortfoliosProject Name
Cost Center
Project Description
10
11
12
121
20
21
211
30
31
32
40
50
001
002
003
004
005
Figure 56 Example of a Requirements Traceability Matrix120 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
53 define Scope
Define Scope is the process of developing a detailed description of the project and product The key benefit of
this process is that it describes the project service or result boundaries by defining which of the requirements
collected will be included in and excluded from the project scope The inputs tools and techniques and outputs of
this process are depicted in Figure 57 Figure 58 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Scope management plan
2 Project charter
3 Requirements
documentation
4 Organizational process
assets
1 Expert judgment
2 Product analysis
3 Alternatives generation
4 Facilitated workshops
1 Project scope statement
2 Project documents
updates
Figure 57 define Scope Inputs tools & techniques and outputs
Project Scope Management
53
Define
Scope
51
Plan Scope
Management
52
Collect
Requirements
54
Create
WBS
• Organizational
process assets
• Project
charter
• Requirements
documentation
• Scope
management
plan
• Project
scope
statement
• Project documents
updates
41
Develop Project
Charter
63
Sequence
Activities
65
Estimate
Activity Durations
66
Develop
Schedule
Project
Documents
Enterprise
Organization
Figure 58 define Scope data Flow diagram121©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
Since all of the requirements identified in Collect Requirements may not be included in the project the Define
Scope process selects the final project requirements from the requirements documentation delivered during the
Collect Requirements process It then develops a detailed description of the project and product service or result
The preparation of a detailed project scope statement is critical to project success and builds upon the major
deliverables assumptions and constraints that are documented during project initiation During project planning
the project scope is defined and described with greater specificity as more information about the project is known
Existing risks assumptions and constraints are analyzed for completeness and added or updated as necessary
The Define Scope process can be highly iterative In iterative life cycle projects a highlevel vision will be developed
for the overall project but the detailed scope is determined one iteration at a time and the detailed planning for the
next iteration is carried out as work progresses on the current project scope and deliverables
531 Define Scope Inputs
5311 Scope Management Plan
Described in Section 5131The scope management plan is a component of the project management plan
that establishes the activities for developing monitoring and controlling the project scope
5312 Project Charter
Described in Section 4131 The project charter provides the highlevel project description and product
characteristics It also contains project approval requirements If a project charter is not used in the performing
organization then comparable information needs to be acquired or developed and used as a basis for the detailed
project scope statement Organizations that do not produce a formal project charter will usually perform an informal
analysis to identify the content necessary for further scope planning
5313 Requirements Documentation
Described in Section 5231 This documentation will be used to select the requirements that will be included
in the project122 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5314 Organizational Process Assets
Described in Section 214 Organizational process assets can influence how scope is defined Examples include
but are not limited to
• Policies procedures and templates for a project scope statement
• Project files from previous projects and
• Lessons learned from previous phases or projects
532 Define Scope Tools and Techniques
5321 Expert Judgment
Expert judgment is often used to analyze the information needed to develop the project scope statement Such
judgment and expertise is applied to any technical detail Such expertise is provided by any group or individual with
specialized knowledge or training and is available from many sources including but not limited to
• Other units within the organization
• Consultants
• Stakeholders including customers or sponsors
• Professional and technical associations
• Industry groups and
• Subject matter experts
5322 Product Analysis
For projects that have a product as a deliverable as opposed to a service or result product analysis can be an
effective tool Each application area has one or more generally accepted methods for translating highlevel product
descriptions into tangible deliverables Product analysis includes techniques such as product breakdown systems
analysis requirements analysis systems engineering value engineering and value analysis123©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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5
5323 Alternatives Generation
Alternatives generation is a technique used to develop as many potential options as possible in order to identify
different approaches to execute and perform the work of the project A variety of general management techniques
can be used such as brainstorming lateral thinking analysis of alternatives etc
5324 Facilitated Workshops
Described in Section 5223 The participation of key players with a variety of expectations andor fields of
expertise in these intensive working sessions helps to reach a crossfunctional and common understanding of the
project objectives and its limits
533 Define Scope Outputs
5331 Project Scope Statement
The project scope statement is the description of the project scope major deliverables assumptions and
constraints The project scope statement documents the entire scope including project and product scope It
describes in detail the project’s deliverables and the work required to create those deliverables It also provides a
common understanding of the project scope among project stakeholders It may contain explicit scope exclusions
that can assist in managing stakeholder expectations It enables the project team to perform more detailed planning
guides the project team’s work during execution and provides the baseline for evaluating whether requests for
changes or additional work are contained within or outside the project’s boundaries
The degree and level of detail to which the project scope statement defines the work that will be performed
and the work that is excluded can help determine how well the project management team can control the overall
project scope The detailed project scope statement either directly or by reference to other documents includes
the following
• Product scope description Progressively elaborates the characteristics of the product service or result
described in the project charter and requirements documentation
• Acceptance criteria A set of conditions that is required to be met before deliverables are accepted
• Deliverable Any unique and verifiable product result or capability to perform a service that is required
to be produced to complete a process phase or project Deliverables also include ancillary results such
as project management reports and documentation These deliverables may be described at a summary
level or in great detail124 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
• Project exclusion Generally identifies what is excluded from the project Explicitly stating what is out of
scope for the project helps to manage stakeholders’ expectations
• Constraints A limiting factor that affects the execution of a project or process Constraints identified with
the project scope statement list and describe the specific internal or external restrictions or limitations
associated with the project scope that affect the execution of the project for example a predefined
budget or any imposed dates or schedule milestones that are issued by the customer or performing
organization When a project is performed under an agreement contractual provisions will generally be
constraints Information on constraints may be listed in the project scope statement or in a separate log
• Assumptions A factor in the planning process that is considered to be true real or certain without
proof or demonstration Also describes the potential impact of those factors if they prove to be false
Project teams frequently identify document and validate assumptions as part of their planning process
Information on assumptions may be listed in the project scope statement or in a separate log
Although the project charter and the project scope statement are sometimes perceived as containing a certain
degree of redundancy they are different in the level of detail contained in each The project charter contains high
level information while the project scope statement contains a detailed description of the scope elements These
elements are progressively elaborated throughout the project Table 51 describes some of the key elements for
each document
Table 51 Elements of the Project Charter and Project Scope Statement
Project Charter
Project purpose or justification
Measurable project objectives
and related success criteria
Highlevel requirements
Highlevel project description
Highlevel risks
Summary milestone schedule
Summary budget
Stakeholder list
Project approval requirements
(what constitutes success who
decides it who signs off)
Assigned project manager
responsibility and authority
level
Name and authority of the
sponsor or other person(s)
authorizing the project charter
Project Scope Statement
Project scope description
(progressively elaborated)
Acceptance criteria
Project deliverables
Project exclusions
Project constraints
Project assumptions125©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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5
5332 Project Documents Updates
Project documents that may be updated include but are not limited to
• Stakeholder register
• Requirements documentation and
• Requirements traceability matrix
54 Create WBS
Create WBS is the process of subdividing project deliverables and project work into smaller more manageable
components The key benefit of this process is that it provides a structured vision of what has to be delivered The
inputs tools and techniques and outputs of this process are depicted in Figure 59 Figure 510 depicts the data
flow diagram of the process
Inputs Tools & Techniques Outputs
1 Scope management plan
2 Project scope statement
3 Requirements
documentation
4 Enterprise environmental
factors
5 Organizational process
assets
1 Decomposition
2 Expert judgment
1 Scope baseline
2 Project documents
updates
Figure 59 Create WBS Inputs Tools & Techniques and Outputs126 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
Project Scope Management
54
Create
WBS
53
Define
Scope
51
Plan Scope
Management
52
Collect
Requirements
55
Validate
Scope
• Enterprise
environmental
factors
• Organizational
process assets
• Project scope
statement
• Requirements
documentation
• Scope
management
plan
• Scope
baseline
• Project documents
updates 72
Estimate
Costs
73
Determine
Budget
42
Develop Project
Management
Plan
62
Define
Activities
112
Identify
Risks
113
Perform
Qualitative Risk
Analysis
Project
Documents
Enterprise
Organization
Figure 510 create WBS data Flow diagram
The WBS is a hierarchical decomposition of the total scope of work to be carried out by the project team to
accomplish the project objectives and create the required deliverables The WBS organizes and defines the total
scope of the project and represents the work specified in the current approved project scope statement
The planned work is contained within the lowest level of WBS components which are called work packages
A work package can be used to group the activities where work is scheduled and estimated monitored and
controlled In the context of the WBS work refers to work products or deliverables that are the result of activity and
not to the activity itself127©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
541 Create WBS Inputs
5411 Scope Management Plan
Described in Section 5131 The scope management plan specifies how to create the WBS from the detailed
project scope statement and how the WBS will be maintained and approved
5412 Project Scope Statement
Described in Section 5331 The project scope statement describes the work that will be performed and the
work that is excluded It also lists and describes the specific internal or external restrictions or limitations that may
affect the execution of the project
5413 Requirements Documentation
Described in Section 5231 Detailed requirements documentation is essential for understanding what needs
to be produced as the result of the project and what needs to be done to deliver the project and its final products
5414 Enterprise Environmental Factors
Described in Section 215 Industryspecific WBS standards relevant to the nature of the project may serve
as external reference sources for creation of the WBS For example engineering projects may reference ISOIEC
15288 on Systems Engineering – System Life Cycle Processes [6] to create a WBS for a new project
5415 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Create WBS process
include but are not limited to
• Policies procedures and templates for the WBS
• Project files from previous projects and
• Lessons learned from previous projects128 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
542 Create WBS Tools and Techniques
5421 Decomposition
Decomposition is a technique used for dividing and subdividing the project scope and project deliverables into
smaller more manageable parts The work package is the work defined at the lowest level of the WBS for which
cost and duration can be estimated and managed The level of decomposition is often guided by the degree of
control needed to effectively manage the project The level of detail for work packages will vary with the size
and complexity of the project Decomposition of the total project work into work packages generally involves the
following activities
• Identifying and analyzing the deliverables and related work
• Structuring and organizing the WBS
• Decomposing the upper WBS levels into lowerlevel detailed components
• Developing and assigning identification codes to the WBS components and
• Verifying that the degree of decomposition of the deliverables is appropriate
A portion of a WBS with some branches of the WBS decomposed down through the work package level is shown
in Figure 511
5422 Expert Judgment
Expert judgment is often used to analyze the information needed to decompose the project deliverables down
into smaller component parts in order to create an effective WBS Such judgment and expertise is applied to
technical details of the project’s scope and used to reconcile differences in opinion on how to best break down
the overall scope of the project This level of expertise is provided by any group or individual with relevant training
knowledge or experience with similar projects or business areas Expert judgment can also come in the form
of predefined templates that provide guidance on how to effectively break down common deliverables Such
templates may be industry or discipline specific or may come from experience gained in similar projects The
project manager in collaboration with the project team then determines the final decomposition of the project
scope into the discrete work packages that will be used to effectively manage the work of the project129©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
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10
Value Management
System Project
11
Needs
Assessment
12
Standards
Development
13
Systems
Engineering
14
Project
Management
The WBS is illustrative only It is not intended to represent the full project scope of any specific project
nor to imply that this is the only way to organize a WBS on this type of project
1111
Components
Identification
1121
Gap
Assessment
1131
Alternatives
Identification
114
System Requirements
Development
113
Alternatives
Development
112
Requirements
Determination
111
Current System
Audit
1112
Components
Analysis
1122
Requirements
Changes Identification
1132
Alternatives
Analysis
Figure 511 Sample WBS Decomposed Down Through Work Packages
A WBS structure may be created through various approaches Some of the popular methods include the top
down approach the use of organizationspecific guidelines and the use of WBS templates A bottomup approach
can be used during the integration of subcomponents The WBS structure can be represented in a number of forms
such as
• Using phases of the project life cycle as the second level of decomposition with the product and project
deliverables inserted at the third level as shown in Figure 512
• Using major deliverables as the second level of decomposition as shown in Figure 513 and
• Incorporating subcomponents which may be developed by organizations outside the project team such
as contracted work The seller then develops the supporting contract WBS as part of the contracted work130 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
Planning
Software Product
Release 50
Detail
Design Construct Integration
and Test
Project
Management
Product
Requirements
Software Software Software Software
Meetings User
Documentation
User
Documentation
User
Documentation
User
Documentation
Administration Training Program
Materials
Training Program
Materials
Training Program
Materials
Training Program
Materials
The WBS is illustrative only It is not intended to represent the full project scope of any specific project
nor to imply that this is the only way to organize a WBS on this type of project
Figure 512 Sample WBS Organized by Phase
System
Engineering
Management
Supporting
PM Activities
Aircraft
System
Project
Management
Equipment
Training
Facilities
Training
Services
Training
Training
Technical
Orders
Engineering
Data
Management
Data
Data Air
Vehicle
Organizational
Level SE
Intermediate
Level SE
Depot
Level SE
Support
Equipment
Airframe Engine Communication
System
Navigation
System
Fire Control
System
Base
Buildings
Maintenance
Facility
Facilities
Mockups
Operational
Test
Developmental
Test
Test
Test and
Evaluation
The WBS is illustrative only It is not intended to represent the full project scope of any specific project
nor to imply that this is the only way to organize a WBS on this type of project
Figure 513 Sample WBS with Major Deliverables131©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
Decomposition of the upperlevel WBS components requires subdividing the work for each of the deliverables
or subcomponents into its most fundamental elements where the WBS components represent verifiable products
services or results The WBS may be structured as an outline an organizational chart or other method that identifies
a hierarchical breakdown Verifying the correctness of the decomposition requires determining that the lowerlevel
WBS components are those that are necessary and sufficient for completion of the corresponding higherlevel
deliverables Different deliverables can have different levels of decomposition To arrive at a work package the
work for some deliverables needs to be decomposed only to the next level while others need additional levels of
decomposition As the work is decomposed to greater levels of detail the ability to plan manage and control the
work is enhanced However excessive decomposition can lead to nonproductive management effort inefficient
use of resources decreased efficiency in performing the work and difficulty aggregating data over different levels
of the WBS
Decomposition may not be possible for a deliverable or subcomponent that will be accomplished far into the
future The project management team usually waits until the deliverable or subcomponent is agreed on so the
details of the WBS can be developed This technique is sometimes referred to as rolling wave planning
The WBS represents all product and project work including the project management work The total of the work
at the lowest levels should roll up to the higher levels so that nothing is left out and no extra work is performed
This is sometimes called the 100 percent rule
For specific information regarding the WBS refer to the Practice Standard for Work Breakdown Structures –
Second Edition [7] This standard contains industryspecific examples of WBS templates that can be tailored to
specific projects in a particular application area
543 Create WBS Outputs
5431 Scope Baseline
The scope baseline is the approved version of a scope statement work breakdown structure (WBS) and its
associated WBS dictionary that can be changed only through formal change control procedures and is used as a
basis for comparison It is a component of the project management plan Components of the scope baseline include
• Project scope statement The project scope statement includes the description of the project scope
major deliverables assumptions and constraints132 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
• WBS The WBS is a hierarchical decomposition of the total scope of work to be carried out by the project
team to accomplish the project objectives and create the required deliverables Each descending level
of the WBS represents an increasingly detailed definition of the project work The WBS is finalized by
assigning each work package to a control account and establishing a unique identifier for that work
package from a code of accounts These identifiers provide a structure for hierarchical summation
of costs schedule and resource information A control account is a management control point
where scope budget actual cost and schedule are integrated and compared to the earned value for
performance measurement Control accounts are placed at selected management points in the WBS
Each control account may include one or more work packages but each of the work packages should
be associated with only one control account A control account may include one or more planning
packages A planning package is a work breakdown structure component below the control account
with known work content but without detailed schedule activities
• WBS dictionary The WBS dictionary is a document that provides detailed deliverable activity and
scheduling information about each component in the WBS The WBS dictionary is a document that
supports the WBS Information in the WBS dictionary may include but is not limited to
○○ Code of account identifier
○○ Description of work
○○ Assumptions and constraints
○○ Responsible organization
○○ Schedule milestones
○○ Associated schedule activities
○○ Resources required
○○ Cost estimates
○○ Quality requirements
○○ Acceptance criteria
○○ Technical references and
○○ Agreement information
5432 Project Documents Updates
Project documents that may be updated include but are not limited to requirements documentation which may
need to be updated to include approved changes If approved change requests result from the Create WBS process
then the requirements documentation may need to be updated to include approved changes133©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
55 Validate Scope
Validate Scope is the process of formalizing acceptance of the completed project deliverables The key benefit
of this process is that it brings objectivity to the acceptance process and increases the chance of final product
service or result acceptance by validating each deliverable The inputs tools and techniques and outputs of this
process are depicted in Figure 514 Figure 515 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Requirements
documentation
3 Requirements traceability
matrix
4 Verified deliverables
5 Work performance data
1 Inspection
2 Group decisionmaking
techniques
1 Accepted deliverables
2 Change requests
3 Work performance
information
4 Project documents
updates
Figure 514 Validate Scope Inputs tools & techniques and outputs
Project Scope Management
55
Validate
Scope
52
Collect
Requirements
• Project
charter
• Requirements
documentation
• Requirements
traceability matrix
• Change requests
• Accepted
deliverables
• Project documents
updates
• Work performance
information
• Work performance
data
• Validated
deliverables
• Project management
plan
83
Control
Quality
43
Direct and
Manage
Project Work
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
46
Close Project
or Phase
Project
Documents
42
Develop Project
Management
Plan
Figure 515 Validate Scope data Flow diagram134 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
The verified deliverables obtained from the Control Quality process are reviewed with the customer or sponsor
to ensure that they are completed satisfactorily and have received formal acceptance of the deliverables by the
customer or sponsor In this process the outputs obtained as a result of the Planning processes in the Project Scope
Management Knowledge Area such as the requirements documentation or the scope baseline as well as the work
performance data obtained from the Execution processes in other Knowledge Areas are the basis for performing
the validation and for final acceptance
The Validate Scope process differs from the Control Quality process in that the former is primarily concerned
with acceptance of the deliverables while quality control is primarily concerned with correctness of the deliverables
and meeting the quality requirements specified for the deliverables Control Quality is generally performed before
Validate Scope although the two processes may be performed in parallel
551 Validate Scope Inputs
5511 Project Management Plan
Described in Section 4231 The project management plan contains the scope management plan and the
scope baseline As described in Section 5131 the scope management plan specifies how formal acceptance of
the completed project deliverables will be obtained The scope baseline (Section 5431) includes the approved
version of a scope statement work breakdown structure (WBS) and its associated WBS dictionary that can be
changed only through formal change control procedures and is used as a basis for comparison
5512 Requirements Documentation
Described in Section 5231 The requirements documentation lists all the project product and other types of
requirements for the project and product along with their acceptance criteria
5513 Requirements Traceability Matrix
Described in Section 5232 The requirements traceability matrix links requirements to their origin and tracks
them throughout the project life cycle135©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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5514 Verified Deliverables
Described in Section 8333 Verified deliverables are project deliverables that are completed and checked for
correctness through the Control Quality process
5515 Work Performance Data
Described in Section 4332 Work performance data can include the degree of compliance with requirements
number of nonconformities severity of the nonconformities or the number of validation cycles performed in a
period of time
552 Validate Scope Tools and Techniques
5521 Inspection
Inspection includes activities such as measuring examining and validating to determine whether work and
deliverables meet requirements and product acceptance criteria Inspections are sometimes called reviews
product reviews audits and walkthroughs In some application areas these different terms have unique and
specific meanings
5522 Group DecisionMaking Techniques
Described in Section 5225 These techniques are used to reach a conclusion when the validation is performed
by the project team and other stakeholders
553 Validate Scope Outputs
5531 Accepted Deliverables
Deliverables that meet the acceptance criteria are formally signed off and approved by the customer or sponsor
Formal documentation received from the customer or sponsor acknowledging formal stakeholder acceptance of
the project’s deliverables is forwarded to the Close Project or Phase process (Section 46)136 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5532 Change Requests
The completed deliverables that have not been formally accepted are documented along with the reasons
for nonacceptance of those deliverables Those deliverables may require a change request for defect repair The
change requests are processed for review and disposition through the Perform Integrated Change Control process
(Section 45)
5533 Work Performance Information
Work performance information includes information about project progress such as which deliverables
have started their progress which deliverables have finished or which have been accepted This information is
documented as described in Section 10331 and communicated to stakeholders
5534 Project Documents Updates
Project documents that may be updated as a result of the Validate Scope process include any documents that
define the product or report status on product completion Verified project documents may require approvals from
the customer or sponsor in the form of signatures or signoffs
56 Control Scope
Control Scope is the process of monitoring the status of the project and product scope and managing changes to
the scope baseline The key benefit of this process is that it allows the scope baseline to be maintained throughout
the project The inputs tools and techniques and outputs of this process are depicted in Figure 516 Figure 517
depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Requirements
documentation
3 Requirements traceability
matrix
4 Work performance data
5 Organizational process
assets
1 Variance analysis 1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure 516 Control Scope Inputs Tools & Techniques and Outputs137©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
Project Scope Management
56
Control
Scope
52
Collect
Requirements
• Project
charter
• Requirements
documentation
• Requirements
traceability matrix
• Work performance
information
• Organizational process
assets updates
• Change
requests
• Project documents
updates
• Project management
plan updates
• Project
management plan
• Work performance
data
• Organizational
process assets
43
Direct and
Manage Project
Work
42
Develop Project
Management
Plan
42
Develop Project
Management
Plan
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
Project
DocumentsEnterprise
Organization
Enterprise
Organization
Figure 517 control Scope data Flow diagram
Controlling the project scope ensures all requested changes and recommended corrective or preventive actions
are processed through the Perform Integrated Change Control process (see Section 45) Control Scope is also used
to manage the actual changes when they occur and is integrated with the other control processes The uncontrolled
expansion to product or project scope without adjustments to time cost and resources is referred to as scope
creep Change is inevitable therefore some type of change control process is mandatory for every project138 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
561 Control Scope Inputs
5611 Project Management Plan
Described in Section 4231 The following information from the project management plan is used to control
scope
• Scope baseline The scope baseline is compared to actual results to determine if a change corrective
action or preventive action is necessary
• Scope management plan Sections from the scope management plan describe how the project scope
will be monitored and controlled
• Change management plan The change management plan defines the process for managing change
on the project
• Configuration management plan The configuration management plan defines those items that are
configurable those items that require formal change control and the process for controlling changes to
such items
• Requirements management plan This plan is a component of the project management plan and
describes how the project requirements will be analyzed documented and managed
5612 Requirements Documentation
Described in Section 5231 Requirements should be unambiguous (measurable and testable) traceable
complete consistent and acceptable to key stakeholders Welldocumented requirements make it easier to detect
any deviation in the scope agreed for the project or product
5613 Requirements Traceability Matrix
Described in Section 5232 The requirements traceability matrix helps to detect the impact of any change or
deviation from the scope baseline on the project objectives139©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5
5614 Work Performance Data
Described in Section 4332 Work performance data can include the number of change requests received the
number of requests accepted or the number of deliverables completed etc
5615 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Control Scope process
include but are not limited to
• Existing formal and informal scope controlrelated policies procedures guidelines and
• Monitoring and reporting methods and templates to be used
562 Control Scope Tools and Techniques
5621 Variance Analysis
Variance analysis is a technique for determining the cause and degree of difference between the baseline and
actual performance Project performance measurements are used to assess the magnitude of variation from the
original scope baseline Important aspects of project scope control include determining the cause and degree of
variance relative to the scope baseline (Section 5431) and deciding whether corrective or preventive action is
required
563 Control Scope Outputs
5631 Work Performance Information
Work performance information produced includes correlated and contextualized information on how the project
scope is performing compared to the scope baseline It can include the categories of the changes received the
identified scope variances and their causes how they impact schedule or cost and the forecast of the future scope
performance This information provides a foundation for making scope decisions140 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
5 PROJECT SCOPE MANAGEMENT
5632 Change Requests
Analysis of scope performance can result in a change request to the scope baseline or other components
of the project management plan Change requests can include preventive or corrective actions defect repairs
or enhancement requests Change requests are processed for review and disposition according to the Perform
Integrated Change Control process (Section 45)
5633 Project Management Plan Updates
Project management plan updates may include but are not limited to
• Scope Baseline Updates If the approved change requests have an effect on the project scope then
the scope statement the WBS and the WBS dictionary are revised and reissued to reflect the approved
changes through Perform Integrated Change Control process
• Other Baseline Updates If the approved change requests have an effect on the project besides the
project scope then the corresponding cost baseline and schedule baselines are revised and reissued to
reflect the approved changes
5634 Project Documents Updates
Project documents that may be updated include but are not limited to
• Requirements documentation and
• Requirements traceability matrix
5635 Organizational Process Assets Updates
Organizational process assets that may be updated include but are not limited to
• Causes of variances
• Corrective action chosen and the reasons and
• Other types of lessons learned from project scope control141©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
6
PROJECT TIME MANAGEMENT
Project Time Management includes the processes required to manage the timely completion of the project
Figure 61 provides an overview of the Project Time Management processes which are as follows
61 Plan Schedule Management—The process of establishing the policies procedures and documentation
for planning developing managing executing and controlling the project schedule
62 Define Activities—The process of identifying and documenting the specific actions to be performed
to produce the project deliverables
63 Sequence Activities—The process of identifying and documenting relationships among the project
activities
64 Estimate Activity Resources—The process of estimating the type and quantities of material human
resources equipment or supplies required to perform each activity
65 Estimate Activity Durations—The process of estimating the number of work periods needed to
complete individual activities with estimated resources
66 Develop Schedule—The process of analyzing activity sequences durations resource requirements
and schedule constraints to create the project schedule model
67 Control Schedule—The process of monitoring the status of project activities to update project
progress and manage changes to the schedule baseline to achieve the plan
66142 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
These processes interact with each other and with processes in other Knowledge Areas as described in detail
in Section 3 and Annex A1
Distinguishing the project schedule presentation (schedule) from the schedule data (Section 6633) and
calculations that produce the project schedule (Section 6632) is practiced by referring to the scheduling tool
populated with project data as the schedule model A schedule model is a representation of the plan for executing
the project’s activities including durations dependencies and other planning information used to produce project
schedules along with other scheduling artifacts For specific information regarding the schedule model refer to the
Practice Standard for Scheduling [8]
On some projects especially those of smaller scope defining activities sequencing activities estimating
activity resources estimating activity durations and developing the schedule model are so tightly linked that they
are viewed as a single process that can be performed by a person over a relatively short period of time These
processes are presented here as distinct elements because the tools and techniques for each process are different
The Project Time Management processes and their associated tools and techniques are documented in the
schedule management plan The schedule management plan is a subsidiary plan of and integrated with the project
management plan through the Develop Project Management Plan process (Section 42) The schedule management
plan identifies a scheduling method and scheduling tool (Figure 62) and sets the format and establishes criteria
for developing and controlling the project schedule The selected scheduling method defines the framework and
algorithms used in the scheduling tool to create the schedule model Some of the better known scheduling methods
include critical path method (CPM) and critical chain method (CCM)
Project schedule development uses the outputs from the processes to define activities sequence activities
estimate activity resources and estimate activity durations in combination with the scheduling tool to produce
the schedule model The finalized and approved schedule is the baseline that will be used in the Control Schedule
process (Section 67) As the project activities are being performed the majority of effort in the Project Time
Management Knowledge Area will occur in the Control Schedule process to ensure completion of project work in a
timely manner Figure 62 provides a scheduling overview that shows how the scheduling method scheduling tool
and outputs from the Project Time Management processes interact to create a project schedule143©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
6
1 Inputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process
assets
2 Tools & Techniques
1 Expert judgment
2 Analytical techniques
3 Meetings
3 Outputs
1 Schedule management
plan
Project Time
Management Overview
61 Plan Schedule
Management
1 Inputs
1 Schedule management
plan
2 Scope baseline
3 Enterprise environmental
factors
4 Organizational process
assets
2 Tools & Techniques
1 Decomposition
2 Rolling wave planning
3 Expert judgment
3 Outputs
1 Activity list
2 Activity attributes
3 Milestone list
62 Define Activities
1 Inputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Milestone list
5 Project scope statement
6 Enterprise environmental
factors
7 Organizational process
assets
2 Tools & Techniques
1 Precedence diagramming
method (PDM)
2 Dependency determination
3 Leads and lags
3 Outputs
1 Project schedule network
diagrams
2 Project documents updates
63 Sequence
Activities
1 Inputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Activity resource
requirements
5 Resource calendars
6 Project scope statement
7 Risk register
8 Resource breakdown
structure
9 Enterprise environmental
factors
10 Organizational process
assets
2 Tools & Techniques
1 Expert judgment
2 Analogous estimating
3 Parametric estimating
4 Threepoint estimating
5 Group decisionmaking
techniques
6 Reserve analysis
3 Outputs
1 Activity duration estimates
2 Project documents updates
65 Estimate Activity
Durations
1 Inputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Project schedule network
diagrams
5 Activity resource
requirements
6 Resource calendars
7 Activity duration estimates
8 Project scope statement
9 Risk register
10 Project staff assignments
11 Resource breakdown
structure
12 Enterprise environmental
factors
13 Organizational process
assets
2 Tools & Techniques
1 Schedule network analysis
2 Critical path method
3 Critical chain method
4 Resource optimization
techniques
5 Modeling techniques
6 Leads and lags
7 Schedule compression
8 Scheduling tool
3 Outputs
1 Schedule baseline
2 Project schedule
3 Schedule data
4 Project calendars
5 Project management plan
updates
6 Project documents updates
66 Develop Schedule
1 Inputs
1 Project management plan
2 Project schedule
3 Work performance data
4 Project calendars
5 Schedule data
6 Organizational process
assets
2 Tools & Techniques
1 Performance reviews
2 Project management
software
3 Resource optimization
techniques
4 Modeling techniques
5 Leads and lags
6 Schedule compression
7 Scheduling tool
3 Outputs
1 Work performance
information
2 Schedule forecasts
3 Change requests
4 Project management plan
updates
5 Project documents updates
6 Organizational process
assets updates
67 Control Schedule
1 Inputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Resource calendars
5 Risk register
6 Activity cost estimates
7 Enterprise environmental
factors
8 Organizational process
assets
2 Tools & Techniques
1 Expert judgment
2 Alternative analysis
3 Published estimating data
4 Bottomup estimating
5 Project management
software
3 Outputs
1 Activity resource
requirements
2 Resource breakdown
structure
3 Project documents
updates
64 Estimate Activity
Resources
Figure 61 Project Time Management Overview144 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
Examples of Project Schedule Presentations
Network Diagram
Bar ChartActivity List
Project
Schedule
Schedule
Model
Project
Information
Scheduling
Method
Scheduling
Tool
Output
Generates
Project Specific Data
(eg WBS activities
resources durations
dependencies constraints
calendars milestones
lags etc)
For example
CPM
Figure 62 Scheduling Overview145©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
6
61 Plan Schedule Management
Plan Schedule Management is the process of establishing the policies procedures and documentation for
planning developing managing executing and controlling the project schedule The key benefit of this process is
that it provides guidance and direction on how the project schedule will be managed throughout the project The
inputs tools and techniques and outputs of this process are depicted in Figure 63 Figure 64 depicts the data
flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process
assets
1 Expert judgment
2 Analytical techniques
3 Meetings
1 Schedule management
plan
Figure 63 Plan Schedule Management Inputs tools & techniques and outputs
• Change log
Project Time Management
61
Plan Schedule
Management
62
Define
Activities
64
Estimate Activity
Resources
63
Sequence
Activities
65
Estimate Activity
Durations
66
Develop
Schedule
• Project charter
• Project
management
plan
• Enterprise
environmental
factors
• Organizational
process assets
• Schedule
management
plan
42
Develop Project
Management
Plan
112
Identify
Risks
114
Perform
Quantitative
Risk Analysis
41
Develop Project
Charter
Enterprise
Organization
Figure 64 Plan Schedule Management data Flow diagram146 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
The schedule management plan is a component of the project management plan The schedule management
plan may be formal or informal highly detailed or broadly framed based upon the needs of the project and
includes appropriate control thresholds The schedule management plan defines how schedule contingencies will
be reported and assessed The schedule management plan may be updated to reflect a change in the way the
schedule is managed The schedule management plan is a major input into the Develop Project Management Plan
process as referenced in Section 6131
611 Plan Schedule Management Inputs
6111 Project Management Plan
Described in Section 4231 The project management plan contains information used to develop the schedule
management plan which includes but is not limited to
• Scope baseline The scope baseline includes the project scope statement and the work breakdown
structure (WBS) details used for defining activities duration estimation and schedule management and
• Other information Other scheduling related cost risk and communications decisions from the project
management plan are used to develop the schedule
6112 Project Charter
Described in Section 4131 The project charter defines the summary milestone schedule and project approval
requirements that will influence the management of the project schedule
6113 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that influence the Plan Schedule Management
process include but are not limited to
• Organizational culture and structure can all influence schedule management
• Resource availability and skills that may influence schedule planning
• Project management software provides the scheduling tool and alternative possibilities for managing the
schedule
• Published commercial information such as resource productivity information is often available from
commercial databases that track and
• Organizational work authorization systems147©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
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6114 Organizational Process Assets
Described in Section 214 The organizational process assets that influence the Plan Schedule Management
process include but are not limited to
• Monitoring and reporting tools to be used
• Historical information
• Schedule control tools
• Existing formal and informal schedule control related policies procedures and guidelines
• Templates
• Project closure guidelines
• Change control procedures and
• Risk control procedures including risk categories probability definition and impact and probability and
impact matrix
612 Plan Schedule Management Tools and Techniques
6121 Expert Judgment
Expert judgment guided by historical information provides valuable insight about the environment and
information from prior similar projects Expert judgment can also suggest whether to combine methods and how to
reconcile differences between them
Judgment based upon expertise in an application area Knowledge Area discipline industry etc as appropriate
for the activity being performed should be used in developing the schedule management plan
6122 Analytical Techniques
The Plan Schedule Management process may involve choosing strategic options to estimate and schedule the
project such as scheduling methodology scheduling tools and techniques estimating approaches formats and
project management software The schedule management plan may also detail ways to fast track or crash (Section
6627) the project schedule such as undertaking work in parallel These decisions like other schedule decisions
affecting the project may affect project risks148 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
Organizational policies and procedures may influence which scheduling techniques are employed in these
decisions Techniques may include but are not limited to rolling wave planning (Section 6222) leads and lags
(Section 6323) alternatives analysis (Section 6422) and methods for reviewing schedule performance (Section
6721)
6123 Meetings
Project teams may hold planning meetings to develop the schedule management plan Participants at these
meetings may include the project manager the project sponsor selected project team members selected
stakeholders anyone with responsibility for schedule planning or execution and others as needed
613 Plan Schedule Management Outputs
6131 Schedule Management Plan
A component of the project management plan that establishes the criteria and the activities for developing
monitoring and controlling the schedule The schedule management plan may be formal or informal highly detailed
or broadly framed based upon the needs of the project and includes appropriate control thresholds
For example the schedule management plan can establish the following
• Project schedule model development The scheduling methodology and the scheduling tool to be used
in the development of the project schedule model are specified
• Level of accuracy The acceptable range used in determining realistic activity duration estimates is
specified and may include an amount for contingencies
• Units of measure Each unit used in measurements (such as staff hours staff days or weeks for time
measures or meters liters tons kilometers or cubic yards for quantity measures) is defined for each of
the resources
• Organizational procedures links The WBS (Section 54) provides the framework for the schedule
management plan allowing for consistency with the estimates and resulting schedules
• Project schedule model maintenance The process used to update the status and record progress of
the project in the schedule model during the execution of the project is defined
• Control thresholds Variance thresholds for monitoring schedule performance may be specified to indicate
an agreedupon amount of variation to be allowed before some action needs to be taken Thresholds are
typically expressed as percentage deviations from the parameters established in the baseline plan149©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Rules of performance measurement Earned value management (EVM) rules or other physical
measurement rules of performance measurement are set For example the schedule management plan
may specify
○○ Rules for establishing percent complete
○○ Control accounts at which management of progress and schedule will be measured
○○ Earned value measurement techniques (eg baselines fixedformula percent complete etc)
to be employed (for more specific information refer to the Practice Standard for Earned Value
Management) [9]
○○ Schedule performance measurements such as schedule variance (SV) and schedule performance
index (SPI) used to assess the magnitude of variation to the original schedule baseline
• Reporting formats The formats and frequency for the various schedule reports are defined
• Process descriptions Descriptions of each of the schedule management processes are documented
62 Define Activities
Define Activities is the process of identifying and documenting the specific actions to be performed to produce
the project deliverables The key benefit of this process is to break down work packages into activities that provide
a basis for estimating scheduling executing monitoring and controlling the project work The inputs tools and
techniques and outputs of this process are depicted in Figure 65 Figure 66 depicts the data flow diagram of the
process
Inputs Tools & Techniques Outputs
1 Schedule management
plan
2 Scope baseline
3 Enterprise environmental
factors
4 Organizational process
assets
1 Decomposition
2 Rolling wave planning
3 Expert judgment
1 Activity list
2 Activity attributes
3 Milestone list
Figure 65 Define Activities Inputs Tools & Techniques and Outputs150 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Change log
Project Time Management
62
Define
Activities
61
Plan Schedule
Management
63
Sequence
Activities
65
Estimate Activity
Durations
64
Estimate Activity
Resources
66
Develop
Schedule
• Scope baseline
• Milestone
list
• Organizational
process assets
• Enterprise
environmental
factors
• Schedule
management plan
• Activity list
• Activity attributes
54
Create
WBS
Enterprise
Organization
Figure 66 define Activities data Flow diagram
Implicit in this process are defining and planning the schedule activities such that the project objectives will
be met The Create WBS process identifies the deliverables at the lowest level in the WBS—the work package
Work packages are typically decomposed into smaller components called activities that represent the work effort
required to complete the work package
621 define Activities Inputs
6211 Schedule Management Plan
Described in Section 6131 A key input from the schedule management plan is the prescribed level of detail
necessary to manage the work151©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6212 Scope Baseline
Described in Section 5431 The project WBS deliverables constraints and assumptions documented in the
scope baseline are considered explicitly while defining activities
6213 Enterprise Environmental Factors
Described in Section 215 Enterprise environmental factors that influence the Define Activities process include
but are not limited to
• Organizational cultures and structure
• Published commercial information from commercial databases and
• Project management information system (PMIS)
6214 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Define Activities process
include but are not limited to
• Lessons learned knowledge base containing historical information regarding activity lists used by previous
similar projects
• Standardized processes
• Templates that contain a standard activity list or a portion of an activity list from a previous project and
• Existing formal and informal activity planningrelated policies procedures and guidelines such as the
scheduling methodology that are considered in developing the activity definitions
622 Define Activities Tools and Techniques
6221 Decomposition
Decomposition is a technique used for dividing and subdividing the project scope and project deliverables into
smaller more manageable parts Activities represent the effort needed to complete a work package The Define
Activities process defines the final outputs as activities rather than deliverables as done in the Create WBS process
(Section 54)152 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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The activity list WBS and WBS dictionary can be developed either sequentially or concurrently with the WBS
and WBS dictionary as the basis for development of the final activity list Each work package within the WBS is
decomposed into the activities required to produce the work package deliverables Involving team members in the
decomposition can lead to better and more accurate results
6222 Rolling Wave Planning
Rolling wave planning is an iterative planning technique in which the work to be accomplished in the near term
is planned in detail while the work in the future is planned at a higher level It is a form of progressive elaboration
Therefore work can exist at various levels of detail depending on where it is in the project life cycle During early
strategic planning when information is less defined work packages may be decomposed to the known level of
detail As more is known about the upcoming events in the near term work packages can be decomposed into
activities
6223 Expert Judgment
Project team members or other experts who are experienced and skilled in developing detailed project scope
statements the WBS and project schedules can provide expertise in defining activities
623 Define Activities Outputs
6231 Activity List
The activity list is a comprehensive list that includes all schedule activities required on the project The activity
list also includes the activity identifier and a scope of work description for each activity in sufficient detail to ensure
that project team members understand what work is required to be completed Each activity should have a unique
title that describes its place in the schedule even if that activity title is displayed outside the context of the project
schedule153©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6232 Activity Attributes
Activities distinct from milestones have durations during which the work of that activity is performed
and may have resources and costs associated with that work Activity attributes extend the description of
the activity by identifying the multiple components associated with each activity The components for each
activity evolve over time During the initial stages of the project they include the activity identifier (ID) WBS ID
and activity label or name and when completed may include activity codes activity description predecessor
activities successor activities logical relationships leads and lags (Section 6323) resource requirements
imposed dates constraints and assumptions Activity attributes can be used to identify the person responsible
for executing the work geographic area or place where the work has to be performed the project calendar
the activity is assigned to and activity type such as level of effort (often abbreviated as LOE) discrete effort
and apportioned effort Activity attributes are used for schedule development and for selecting ordering and
sorting the planned schedule activities in various ways within reports The number of attributes varies by
application area
6233 Milestone List
A milestone is a significant point or event in a project A milestone list is a list identifying all project milestones
and indicates whether the milestone is mandatory such as those required by contract or optional such as those
based upon historical information Milestones are similar to regular schedule activities with the same structure and
attributes but they have zero duration because milestones represent a moment in time
63 Sequence Activities
Sequence Activities is the process of identifying and documenting relationships among the project activities The
key benefit of this process is that it defines the logical sequence of work to obtain the greatest efficiency given all
project constraints The inputs tools and techniques and outputs of this process are depicted in Figure 67 Figure
68 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Milestone list
5 Project scope statement
6 Enterprise environmental
factors
7 Organizational process
assets
1 Precedence diagramming
method (PDM)
2 Dependency
determination
3 Leads and lags
1 Project schedule network
diagrams
2 Project documents
updates
Figure 67 Sequence Activities Inputs Tools & Techniques and Outputs154 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Project Time Management
63
Sequence
Activities
62
Define
Activities
61
Plan Schedule
Management
66
Develop
Schedule
• Activity list
• Activity attributes
• Milestone list
• Schedule
management
plan
• Project schedule
network diagrams
• Project documents
updates
Project
Documents
• Project scope
statement
• Organizational
process assets
• Enterprise
environmental
factors
53
Define
Scope
Enterprise
Organization
Figure 68 Sequence Activities Data Flow Diagram
Every activity and milestone except the first and last should be connected to at least one predecessor with a
finishtostart or starttostart logical relationship and at least one successor with a finishtostart or finishto
finish logical relationship Logical relationships should be designed to create a realistic project schedule It may
be necessary to use lead or lag time between activities to support a realistic and achievable project schedule
Sequencing can be performed by using project management software or by using manual or automated techniques
631 Sequence Activities Inputs
6311 Schedule Management Plan
Described in Section 6131 The schedule management plan identifies the scheduling method and tool to be
used for the project which will guide how the activities may be sequenced155©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6312 Activity List
Described in Section 6231 The activity list contains all schedule activities required on the project which
are to be sequenced Dependencies and other constraints for these activities can influence the sequencing of the
activities
6313 Activity Attributes
Described in Section 6232 Activity attributes may describe a necessary sequence of events or defined
predecessor or successor relationships
6314 Milestone List
Described in Section 6233 The milestone list may have scheduled dates for specific milestones which may
influence the way activities are sequenced
6315 Project Scope Statement
Described in Section 5331 The project scope statement contains the product scope description which includes
product characteristics that may affect activity sequencing such as the physical layout of a plant to be constructed
or subsystem interfaces on a software project Other information from the project scope statement including project
deliverables project constraints and project assumptions may also affect activity sequencing While these effects
are often apparent in the activity list the product scope description is generally reviewed to ensure accuracy
6316 Enterprise Environmental Factors
Described in Section 215 Enterprise environmental factors that influence the Sequence Activities process
include but are not limited to
• Government or industry standards
• Project management information system (PMIS)
• Scheduling tool and
• Company work authorization systems156 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6317 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Sequence Activities process
include but are not limited to project files from the corporate knowledge base used for scheduling methodology
existing formal and informal activity planningrelated policies procedures and guidelines such as the scheduling
methodology that are considered in developing logical relationships and templates that can be used to expedite the
preparation of networks of project activities Related activity attributes information in templates can also contain
additional descriptive information useful in sequencing activities
632 Sequence Activities Tools and Techniques
6321 Precedence Diagramming Method
The precedence diagramming method (PDM) is a technique used for constructing a schedule model in which
activities are represented by nodes and are graphically linked by one or more logical relationships to show the
sequence in which the activities are to be performed Activityonnode (AON) is one method of representing a
precedence diagram This is the method used by most project management software packages
PDM includes four types of dependencies or logical relationships A predecessor activity is an activity that
logically comes before a dependent activity in a schedule A successor activity is a dependent activity that logically
comes after another activity in a schedule These relationships are defined below and are illustrated in Figure 69
• Finishtostart (FS) A logical relationship in which a successor activity cannot start until a predecessor
activity has finished Example The awards ceremony (successor) cannot start until the race (predecessor)
has finished
• Finishtofinish (FF) A logical relationship in which a successor activity cannot finish until a predecessor
activity has finished Example Writing a document (predecessor) is required to finish before editing the
document (successor) can finish
• Starttostart (SS) A logical relationship in which a successor activity cannot start until a predecessor
activity has started Example Level concrete (successor) cannot begin until pour foundation (predecessor)
begins
• Starttofinish (SF) A logical relationship in which a successor activity cannot finish until a predecessor
activity has started Example The first security guard shift (successor) cannot finish until the second
security guard shift (predecessor) starts157©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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In PDM finishtostart is the most commonly used type of precedence relationship The starttofinish relationship
is very rarely used but is included to present a complete list of the PDM relationship types
Activity A Activity B
Activity A Activity A
Activity B Activity B
Activity A Activity B
Finish to Start (FS)
Start to Finish (SF)
Start to Start (SS) Finish to Finish (FF)
Figure 69 Precedence Diagramming Method (PDM) Relationship Types
6322 Dependency Determination
Dependencies may be characterized by the following attributes mandatory or discretionary internal or external
as described below Dependency has four attributes but two can be applicable at the same time in following
ways mandatory external dependencies mandatory internal dependencies discretionary external dependencies
or discretionary internal dependencies
• Mandatory dependencies Mandatory dependencies are those that are legally or contractually required
or inherent in the nature of the work Mandatory dependencies often involve physical limitations such
as on a construction project where it is impossible to erect the superstructure until after the foundation
has been built or on an electronics project where a prototype has to be built before it can be tested
Mandatory dependencies are also sometimes referred to as hard logic or hard dependencies Technical
dependencies may not be mandatory The project team determines which dependencies are mandatory
during the process of sequencing the activities Mandatory dependencies should not be confused with
assigning schedule constraints in the scheduling tool158 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Discretionary dependencies Discretionary dependencies are sometimes referred to as preferred logic
preferential logic or soft logic Discretionary dependencies are established based on knowledge of best
practices within a particular application area or some unusual aspect of the project where a specific
sequence is desired even though there may be other acceptable sequences Discretionary dependencies
should be fully documented since they can create arbitrary total float values and can limit later scheduling
options When fast tracking techniques are employed these discretionary dependencies should be
reviewed and considered for modification or removal The project team determines which dependencies
are discretionary during the process of sequencing the activities
• External dependencies External dependencies involve a relationship between project activities and
nonproject activities These dependencies are usually outside the project team’s control For example
the testing activity in a software project may be dependent on the delivery of hardware from an external
source or governmental environmental hearings may need to be held before site preparation can begin
on a construction project The project management team determines which dependencies are external
during the process of sequencing the activities
• Internal dependencies Internal dependencies involve a precedence relationship between project
activities and are generally inside the project team’s control For example if the team cannot test a
machine until they assemble it this is an internal mandatory dependency The project management team
determines which dependencies are internal during the process of sequencing the activities
6323 Leads and Lags
A lead is the amount of time whereby a successor activity can be advanced with respect to a predecessor
activity For example on a project to construct a new office building the landscaping could be scheduled to start
two weeks prior to the scheduled punch list completion This would be shown as a finishtostart with a twoweek
lead as shown in Figure 610 Lead is often represented as a negative value for lag in scheduling software
Complete
Punch List
Write
Draft
Landscape
Building Lot
Edit
Draft
SS – 15 Days (Lag)FS – 2 Weeks (Lead)
Figure 610 Examples of Lead and Lag159©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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A lag is the amount of time whereby a successor activity will be delayed with respect to a predecessor activity
For example a technical writing team may begin editing the draft of a large document 15 days after they begin
writing it This can be shown as a starttostart relationship with a 15day lag as shown in Figure 610 Lag can
also be represented in project schedule network diagrams as shown in Figure 611 in the relationship between
activities H and I as indicated by the nomenclature SS+10 (starttostart plus 10 days lag) even though offset is
not shown relative to a timescale
The project management team determines the dependencies that may require a lead or a lag to accurately
define the logical relationship The use of leads and lags should not replace schedule logic Activities and their
related assumptions should be documented
633 Sequence Activities Outputs
6331 Project Schedule Network Diagrams
A project schedule network diagram is a graphical representation of the logical relationships also referred to as
dependencies among the project schedule activities Figure 611 illustrates a project schedule network diagram A
project schedule network diagram is produced manually or by using project management software It can include
full project details or have one or more summary activities A summary narrative can accompany the diagram and
describe the basic approach used to sequence the activities Any unusual activity sequences within the network
should be fully described within the narrative160 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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A B
C D E
Begin H F G End
I J
K L
FF
FS + 15
SS + 10
SS
Figure 611 Project Schedule Network Diagram
6332 Project Documents Updates
Project documents that may be updated include but are not limited to
• Activity lists
• Activity attributes
• Milestone list and
• Risk register
64 Estimate Activity Resources
Estimate Activity Resources is the process of estimating the type and quantities of material human
resources equipment or supplies required to perform each activity The key benefit of this process is that it
identifies the type quantity and characteristics of resources required to complete the activity which allows
more accurate cost and duration estimates The inputs tools and techniques and outputs of this process are
depicted in Figure 612 Figure 613 depicts the data flow diagram of the process161©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Inputs Tools & Techniques Outputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Resource calendars
5 Risk register
6 Activity cost estimates
7 Enterprise environmental
factors
8 Organizational process
assets
1 Expert judgment
2 Alternative analysis
3 Published estimating data
4 Bottomup estimating
5 Project management
software
1 Activity resource
requirements
2 Resource breakdown
structure
3 Project documents
updates
Figure 612 Estimate Activity Resources Inputs Tools & Techniques and Outputs
Project Time Management
64
Estimate
Activity
Resources
62
Define
Activities
61
Plan Schedule
Management
66
Develop
Schedule
65
Estimate Activity
Durations
• Activity list
• Activity attributes
• Schedule
management
plan
• Activity resource requirements
• Resource breakdown structure
• Project documents
updates
• Activity resource
requirements
Project
Documents
• Resource
calendars
• Risk
register • Activity cost
estimates
• Organizational
process assets
• Enterprise
environmental
factors122
Conduct
Procurements
92
Acquire
Project Team
112
Identify
Risks
72
Estimate
Costs
Enterprise
Organization
121
Plan
Procurement
Management
91
Plan Human
Resource
Management
Figure 613 Estimate Activity Resources Data Flow Diagram162 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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The Estimate Activity Resources process is closely coordinated with the Estimate Costs process (Section 72)
For example
• A construction project team will need to be familiar with local building codes Such knowledge is often
readily available from local sellers However if the local labor pool lacks experience with unusual or
specialized construction techniques the additional cost for a consultant may be the most effective way
to secure knowledge of the local building codes
• An automotive design team will need to be familiar with the latest in automated assembly techniques
The requisite knowledge might be obtained by hiring a consultant by sending a designer to a seminar on
robotics or by including someone from manufacturing as a member of the project team
641 Estimate Activity Resources Inputs
6411 Schedule Management Plan
Described in Section 6131 The schedule management plan identifies the level of accuracy and the units of
measure for the resources to be estimated
6412 Activity List
Described in Section 6231 The activity list identifies the activities which will need resources
6413 Activity Attributes
Described in Section 6232 The activity attributes provide the primary data input for use in estimating those
resources required for each activity in the activity list163©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6414 Resource Calendars
Described in Sections 9232 and 12233 A resource calendar is a calendar that identifies the working
days and shifts on which each specific resource is available Information on which resources (such as human
resources equipment and material) are potentially available during a planned activity period is used for
estimating resource utilization Resource calendars specify when and how long identified project resources
will be available during the project This information may be at the activity or project level This knowledge
includes consideration of attributes such as resource experience andor skill level as well as various
geographical locations from which the resources originate and when they may be available
6415 Risk Register
Described in Section 11231 Risk events may impact resource selection and availability Updates to the risk
register are included with project documents updates described in Section 11532 from Plan Risk Responses
6416 Activity Cost Estimates
Described in Section 7231 The cost of resources may impact resource selection
6417 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Estimate Activity
Resources process include but are not limited to resource location availability and skills
6418 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Estimate Activity Resources
process include but are not limited to
• Policies and procedures regarding staffing
• Policies and procedures relating to rental and purchase of supplies and equipment and
• Historical information regarding types of resources used for similar work on previous projects164 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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642 Estimate Activity Resources Tools and Techniques
6421 Expert Judgment
Expert judgment is often required to assess the resourcerelated inputs to this process Any group or person
with specialized knowledge in resource planning and estimating can provide such expertise
6422 Alternative Analysis
Many schedule activities have alternative methods of accomplishment They include using various levels of
resource capability or skills different size or type of machines different tools (hand versus automated) and make
rentorbuy decisions regarding the resource (Section 12135)
6423 Published Estimating Data
Several organizations routinely publish updated production rates and unit costs of resources for an extensive
array of labor trades material and equipment for different countries and geographical locations within countries
6424 BottomUp Estimating
Bottomup estimating is a method of estimating project duration or cost by aggregating the estimates of the
lowerlevel components of the WBS When an activity cannot be estimated with a reasonable degree of confidence
the work within the activity is decomposed into more detail The resource needs are estimated These estimates
are then aggregated into a total quantity for each of the activity’s resources Activities may or may not have
dependencies between them that can affect the application and use of resources If there are dependencies this
pattern of resource usage is reflected and documented in the estimated requirements of the activity
6425 Project Management Software
Project management software such as a scheduling software tool has the capability to help plan organize and
manage resource pools and develop resource estimates Depending on the sophistication of the software resource
breakdown structures resource availability resource rates and various resource calendars can be defined to assist
in optimizing resource utilization165©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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643 Estimate Activity Resources Outputs
6431 Activity Resource Requirements
Activity resource requirements identify the types and quantities of resources required for each activity in a work
package These requirements then can be aggregated to determine the estimated resources for each work package
and each work period The amount of detail and the level of specificity of the resource requirement descriptions
can vary by application area The resource requirements documentation for each activity can include the basis of
estimate for each resource as well as the assumptions that were made in determining which types of resources
are applied their availability and what quantities are used
6432 Resource Breakdown Structure
The resource breakdown structure is a hierarchical representation of resources by category and type Examples
of resource categories include labor material equipment and supplies Resource types may include the skill level
grade level or other information as appropriate to the project The resource breakdown structure is useful for
organizing and reporting project schedule data with resource utilization information
6433 Project Documents Updates
Project documents that may be updated include but are not limited to
• Activity list
• Activity attributes and
• Resource calendars
65 Estimate Activity Durations
Estimate Activity Durations is the process of estimating the number of work periods needed to complete
individual activities with estimated resources The key benefit of this process is that it provides the amount of time
each activity will take to complete which is a major input into the Develop Schedule process The inputs tools and
techniques and outputs of this process are depicted in Figure 614 Figure 615 depicts the data flow diagram of
the process166 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
Inputs Tools & Techniques Outputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Activity resource
requirements
5 Resource calendars
6 Project scope statement
7 Risk register
8 Resource breakdown
structure
9 Enterprise environmental
factors
10 Organizational process
assets
1 Expert judgment
2 Analogous estimating
3 Parametric estimating
4 Threepoint estimating
5 Group decisionmaking
techniques
6 Reserve analysis
1 Activity duration
estimates
2 Project documents
updates
Figure 614 Estimate Activity Durations Inputs Tools & Techniques and Outputs
Project Time Management
65
Estimate
Activity
Durations
61
Plan Schedule
Management
62
Define
Activities
64
Estimate Activity
Resources
66
Develop
Schedule
• Activity list
• Activity attributes
• Schedule
management
plan
• Activity resource
requirements
• Resource breakdown
structure
• Project documents
updates
• Activity
duration
estimates
Project
Documents
• Resource
calendars
• Risk
register
• Project
scope
statement
• Organizational
process assets
• Enterprise
environmental
factors122
Conduct
Procurement
92
Acquire
Project Team
112
Identify
Risks
53
Define
Scope
Enterprise
Organization
112
Identify
Risks
Figure 615 Estimate Activity Durations Data Flow Diagram167©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
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Estimating activity durations uses information on activity scope of work required resource types estimated
resource quantities and resource calendars The inputs of the estimates of activity duration originate from the
person or group on the project team who is most familiar with the nature of the work in the specific activity The
duration estimate is progressively elaborated and the process considers the quality and availability of the input
data For example as more detailed and precise data is available about the project engineering and design work
the accuracy of the duration estimates improves Thus the duration estimate can be assumed to be progressively
more accurate and of better quality
The Estimate Activity Durations process requires an estimation of the amount of work effort required to complete
the activity and the amount of available resources estimated to complete the activity These estimates are used to
approximate the number of work periods (activity duration) needed to complete the activity using the appropriate
project and resource calendars All data and assumptions that support duration estimating are documented for
each estimate of activity duration
651 Estimate Activity Durations Inputs
6511 Schedule Management Plan
Described in Section 6131 The schedule management plan defines the method used and the level of accuracy
along with other criteria required to estimate activity durations including the project update cycle
6512 Activity List
Described in Section 6231 The activity list identifies the activities that will need duration estimates
6513 Activity Attributes
Described in Section 6232 The activity attributes provide the primary data input for use in estimating durations
required for each activity in the activity list
6514 Activity Resource Requirements
Described in Section 6431 The estimated activity resource requirements will have an effect on the duration of
the activity since the level to which the resources assigned to the activity meet the requirements will significantly
influence the duration of most activities For example if additional or lowerskilled resources are assigned to an
activity there may be reduced efficiency or productivity due to increased communication training and coordination
needs leading to a longer duration estimate168 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6515 Resource Calendars
Described in Section 6414 The resource calendars influence the duration of schedule activities due to the
availability of specific resources type of resources and resources with specific attributes For example when staff
members are assigned to an activity on a fulltime basis in general a skilled staff member can be expected to
complete a given activity in less time than a relatively lessskilled staff member
6516 Project Scope Statement
Described in Section 5331 The assumptions and constraints from the project scope statement are considered
when estimating the activity durations Examples of assumptions include but are not limited to
• Existing conditions
• Availability of information and
• Length of the reporting periods
Examples of constraints include but are not limited to
• Available skilled resources and
• Contract terms and requirements
6517 Risk Register
Described in Section 11231 The risk register provides the list of risks along with the results of risk analysis
and risk response planning Updates to the risk register are included with project document updates described in
Section 11532
6518 Resource Breakdown Structure
Described in Section 6432 The resource breakdown structure provides a hierarchical structure of the identified
resources by resource category and resource type169©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6519 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Estimate Activity
Durations process include but are not limited to
• Duration estimating databases and other reference data
• Productivity metrics
• Published commercial information and
• Location of team members
65110 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Estimate Activity Durations
process include but are not limited to
• Historical duration information
• Project calendars
• Scheduling methodology and
• Lessons learned
652 Estimate Activity Durations Tools and Techniques
6521 Expert Judgment
Expert judgment guided by historical information can provide duration estimate information or recommended
maximum activity durations from prior similar projects Expert judgment can also be used to determine whether to
combine methods of estimating and how to reconcile differences between them
6522 Analogous Estimating
Analogous estimating is a technique for estimating the duration or cost of an activity or a project using
historical data from a similar activity or project Analogous estimating uses parameters from a previous
similar project such as duration budget size weight and complexity as the basis for estimating the same
parameter or measure for a future project When estimating durations this technique relies on the actual
duration of previous similar projects as the basis for estimating the duration of the current project It is a
gross value estimating approach sometimes adjusted for known differences in project complexity Analogous
duration estimating is frequently used to estimate project duration when there is a limited amount of detailed
information about the project170 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
Analogous estimating is generally less costly and less time consuming than other techniques but it is also
less accurate Analogous duration estimates can be applied to a total project or to segments of a project and may
be used in conjunction with other estimating methods Analogous estimating is most reliable when the previous
activities are similar in fact and not just in appearance and the project team members preparing the estimates
have the needed expertise
6523 Parametric Estimating
Parametric estimating is an estimating technique in which an algorithm is used to calculate cost or duration
based on historical data and project parameters Parametric estimating uses a statistical relationship between
historical data and other variables (eg square footage in construction) to calculate an estimate for activity
parameters such as cost budget and duration
Activity durations can be quantitatively determined by multiplying the quantity of work to be performed by labor
hours per unit of work For example activity duration on a design project is estimated by the number of drawings
multiplied by the number of labor hours per drawing or on a cable installation the meters of cable multiplied by the
number of labor hours per meter For example if the assigned resource is capable of installing 25 meters of cable
per hour the duration required to install 1000 meters is 40 hours (1000 meters divided by 25 meters per hour)
This technique can produce higher levels of accuracy depending upon the sophistication and underlying data
built into the model Parametric time estimates can be applied to a total project or to segments of a project in
conjunction with other estimating methods
6524 ThreePoint Estimating
The accuracy of singlepoint activity duration estimates may be improved by considering estimation uncertainty
and risk This concept originated with the program evaluation and review technique (PERT) PERT uses three
estimates to define an approximate range for an activity’s duration
• Most likely (tM) This estimate is based on the duration of the activity given the resources likely to be
assigned their productivity realistic expectations of availability for the activity dependencies on other
participants and interruptions
• Optimistic (tO) The activity duration based on analysis of the bestcase scenario for the activity
• Pessimistic (tP) The activity duration based on analysis of the worstcase scenario for the activity171©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Depending on the assumed distribution of values within the range of the three estimates the expected duration
tE can be calculated using a formula Two commonly used formulas are triangular and beta distributions The
formulas are
• Triangular Distribution tE (tO + tM + tP) 3
• Beta Distribution (from the traditional PERT technique) tE (tO + 4tM + tP) 6
Duration estimates based on three points with an assumed distribution provide an expected duration and clarify
the range of uncertainty around the expected duration
6525 Group DecisionMaking Techniques
Teambased approaches such as brainstorming the Delphi or nominal group techniques are useful for engaging
team members to improve estimate accuracy and commitment to the emerging estimates By involving a structured
group of people who are close to the technical execution of work in the estimation process additional information
is gained and more accurate estimates obtained Additionally when people are involved in the estimation process
their commitment towards meeting the resulting estimates increases
6526 Reserve Analysis
Duration estimates may include contingency reserves sometimes referred to as time reserves or buffers
into the project schedule to account for schedule uncertainty Contingency reserves are the estimated duration
within the schedule baseline which is allocated for identified risks that are accepted and for which contingent or
mitigation responses are developed Contingency reserves are associated with the knownunknowns which may
be estimated to account for this unknown amount of rework The contingency reserve may be a percentage of the
estimated activity duration a fixed number of work periods or may be developed by using quantitative analysis
methods such as Monte Carlo simulation (Section 11422) Contingency reserves may be separated from the
individual activities and aggregated into buffers as shown in Figure 619
As more precise information about the project becomes available the contingency reserve may be used
reduced or eliminated Contingency should be clearly identified in schedule documentation
Estimates may also be produced for the amount of management reserve of time for the project Management
reserves are a specified amount of the project duration withheld for management control purposes and are
reserved for unforeseen work that is within scope of the project Management reserves are intended to address the
unknownunknowns that can affect a project Management reserve is not included in the schedule baseline but
it is part of the overall project duration requirements Depending on contract terms use of management reserves
may require a change to the schedule baseline172 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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653 Estimate Activity Durations Outputs
6531 Activity Duration Estimates
Activity duration estimates are quantitative assessments of the likely number of time periods that are required
to complete an activity Duration estimates do not include any lags as described in Section 6323 Activity duration
estimates may include some indication of the range of possible results For example
• 2 weeks ± 2 days which indicates that the activity will take at least eight days and not more than twelve
(assuming a fiveday workweek) and
• 15 probability of exceeding three weeks which indicates a high probability—85 —that the activity
will take three weeks or less
6532 Project Documents Updates
Project documents that may be updated include but are not limited to
• Activity attributes and
• Assumptions made in developing the activity duration estimate such as skill levels and availability
as well as a basis of estimates for durations
66 Develop Schedule
Develop Schedule is the process of analyzing activity sequences durations resource requirements and
schedule constraints to create the project schedule model The key benefit of this process is that by entering
schedule activities durations resources resource availabilities and logical relationships into the scheduling tool it
generates a schedule model with planned dates for completing project activities The inputs tools and techniques
and outputs of this process are depicted in Figure 616 Figure 617 depicts the data flow diagram of the process173©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Inputs Tools & Techniques Outputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Project schedule
network diagrams
5 Activity resource
requirements
6 Resource calendars
7 Activity duration
estimates
8 Project scope statement
9 Risk register
10 Project staff assignments
11 Resource breakdown
structure
12 Enterprise environmental
factors
13 Organizational process
assets
1 Schedule network
analysis
2 Critical path method
3 Critical chain method
4 Resource optimization
techniques
5 Modeling techniques
6 Leads and lags
7 Schedule compression
8 Scheduling tool
1 Schedule baseline
2 Project schedule
3 Schedule data
4 Project calendars
5 Project management plan
updates
6 Project documents
updates
Figure 616 Develop Schedule Inputs Tools & Techniques and Outputs
Project Time Management
66
Develop
Schedule
67
Control
Schedule
• Project schedule
network diagrams
• Activity duration
estimates
• Activity resource
requirements
• Resource breakdown
structure• Activity list
• Activity attributes
• Project documents
updates
• Project schedule
• Project
calendars
• Schedule
data
• Project schedule
• Project
management
plan updates
• Schedule baseline
Project
Documents
• Resource calendars
• Project staff assignments
• Resource calendars
• Risk register
• Project scope statement
• Organizational
process assets
• Enterprise
environmental
factors
122
Conduct
Procurements
92
Acquire
Project Team
112
Identify
Risks
53
Define
Scope
Enterprise
Organization
73
Determine
Budget
72
Estimate
Costs
42
Develop Project
Management
Plan
121
Plan Procurement
Management
65
Estimate Activity
Durations
64
Estimate Activity
Resources
63
Sequence
Activities
62
Define
Activities
• Schedule
management plan
61
Plan Schedule
Management
Figure 617 Develop Schedule Data Flow Diagram174 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
Developing an acceptable project schedule is often an iterative process The schedule model is used to
determine the planned start and finish dates for project activities and milestones based on the accuracy of the
inputs Schedule development can require the review and revision of duration estimates and resource estimates to
create the project schedule model to establish an approved project schedule that can serve as a baseline to track
progress Once the activity start and finish dates have been determined it is common to have project staff assigned
to the activities review their assigned activities and confirm that the start and finish dates present no conflict with
resource calendars or assigned activities in other projects or tasks and thus are still valid As work progresses
revising and maintaining the project schedule model to sustain a realistic schedule continues throughout the
duration of the project as described in Section 67
For more specific information regarding scheduling refer to the Practice Standard for Scheduling
661 Develop Schedule Inputs
6611 Schedule Management Plan
Described in Section 6131 The schedule management plan identifies the scheduling method and tool used to
create the schedule and how the schedule is to be calculated
6612 Activity List
Described in Section 6231 The activity list identifies the activities that will be included in the schedule model
6613 Activity Attributes
Described in Section 6232 The activity attributes provide the details used to build the schedule model
6614 Project Schedule Network Diagrams
Described in Section 6331 The project schedule network diagrams contain the logical relationships of
predecessors and successors that will be used to calculate the schedule175©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6615 Activity Resource Requirements
Described in Section 6431 The activity resource requirements identify the types and quantities of resources
required for each activity used to create the schedule model
6616 Resource Calendars
Described in Sections 9232 and 12233 The resource calendars contain information on the availability of
resources during the project
6617 Activity Duration Estimates
Described in Section 6531 The activity duration estimates contain the quantitative assessments of the likely
number of work periods that will be required to complete an activity that will be used to calculate the schedule
6618 Project Scope Statement
Described in Section 5331 The project scope statement contains assumptions and constraints that can impact
the development of the project schedule
6619 Risk Register
Described in Section 11231 The risk register provides the details of all identified risks and their characteristics
that affect the schedule model
66110 Project Staff Assignments
Described in Section 9231 The project staff assignments specify which resources are assigned to each
activity
66111 Resource Breakdown Structure
Described in Section 6432 The resource breakdown structure provides the details by which resource analysis
and organizational reporting can be done176 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
66112 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors include but are not limited to
• Standards
• Communication channels and
• Scheduling tool to be used in developing the schedule model
66113 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Develop Schedule process
include but are not limited to scheduling methodology and project calendar(s)
662 Develop Schedule Tools and Techniques
6621 Schedule Network Analysis
Schedule network analysis is a technique that generates the project schedule model It employs various analytical
techniques such as critical path method critical chain method whatif analysis and resource optimization
techniques to calculate the early and late start and finish dates for the uncompleted portions of project activities
Some network paths may have points of path convergence or path divergence that can be identified and used in
schedule compression analysis or other analyses
6622 Critical Path Method
The critical path method which is a method used to estimate the minimum project duration and determine the
amount of scheduling flexibility on the logical network paths within the schedule model This schedule network
analysis technique calculates the early start early finish late start and late finish dates for all activities without
regard for any resource limitations by performing a forward and backward pass analysis through the schedule
network as shown in Figure 618 In this example the longest path includes activities A C and D and therefore the
sequence of ACD is the critical path The critical path is the sequence of activities that represents the longest path
through a project which determines the shortest possible project duration The resulting early and late start and
finish dates are not necessarily the project schedule rather they indicate the time periods within which the activity
could be executed using the parameters entered in the schedule model for activity durations logical relationships
leads lags and other known constraints The critical path method is used to calculate the amount of scheduling
flexibility on the logical network paths within the schedule model177©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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On any network path the schedule flexibility is measured by the amount of time that a schedule activity can
be delayed or extended from its early start date without delaying the project finish date or violating a schedule
constraint and is termed total float A CPM critical path is normally characterized by zero total float on the
critical path As implemented with PDM sequencing critical paths may have positive zero or negative total
float depending on constraints applied Any activity on the critical path is called a critical path activity Positive
total float is caused when the backward pass is calculated from a schedule constraint that is later than the
early finish date that has been calculated during forward pass calculation Negative total float is caused when a
constraint on the late dates is violated by duration and logic Schedule networks may have multiple nearcritical
paths Many software packages allow the user to define the parameters used to determine the critical path(s)
Adjustments to activity durations (if more resources or less scope can be arranged) logical relationships (if the
relationships were discretionary to begin with) leads and lags or other schedule constraints may be necessary
to produce network paths with a zero or positive total float Once the total float for a network path has been
calculated then the free float—the amount of time that a schedule activity can be delayed without delaying the
early start date of any successor or violating a schedule constraint—can also be determined For example the
free float for Activity B in Figure 618 is 5 days
Critical Path Link
NonCritical Path Link
Activity
Node
Start FinishA
155
105
C
61015
6015
B
6510
11 5 15
D
16 15 30
16 0 30
Activity Name
Early
Start Duration Early
Finish
Late
Start
Total
Float
Late
Finish
Path A–B–D 25
Path A–C–D 30
(Critical Path)
KEY
Figure 618 Example of Critical Path Method178 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6623 Critical Chain Method
The critical chain method (CCM) is a schedule method that allows the project team to place buffers on any
project schedule path to account for limited resources and project uncertainties It is developed from the critical
path method approach and considers the effects of resource allocation resource optimization resource leveling
and activity duration uncertainty on the critical path determined using the critical path method To do so the critical
chain method introduces the concept of buffers and buffer management The critical chain method uses activities
with durations that do not include safety margins logical relationships and resource availability with statistically
determined buffers composed of the aggregated safety margins of activities at specified points on the project
schedule path to account for limited resources and project uncertainties The resourceconstrained critical path is
known as the critical chain
The critical chain method adds duration buffers that are nonwork schedule activities to manage uncertainty
One buffer placed at the end of the critical chain as shown in Figure 619 is known as the project buffer and
protects the target finish date from slippage along the critical chain Additional buffers known as feeding buffers
are placed at each point where a chain of dependent activities that are not on the critical chain feeds into the critical
chain Feeding buffers thus protect the critical chain from slippage along the feeding chains The size of each buffer
should account for the uncertainty in the duration of the chain of dependent activities leading up to that buffer Once
the buffer schedule activities are determined the planned activities are scheduled to their latest possible planned
start and finish dates Consequently instead of managing the total float of network paths the critical chain method
focuses on managing the remaining buffer durations against the remaining durations of chains of activities
Activity A
Critical Chain Link
NonCritical Link
Activity CStart Finish
Activity G
Activity B
Activity D
Feeding
Buffer
Feeding
Buffer
Activity E Activity F Project
Buffer
KEY
Figure 619 Example of Critical Chain Method179©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6624 Resource Optimization Techniques
Examples of resource optimization techniques that can be used to adjust the schedule model due to demand
and supply of resources include but are not limited to
• Resource leveling A technique in which start and finish dates are adjusted based on resource constraints
with the goal of balancing demand for resources with the available supply Resource leveling can be used
when shared or critically required resources are only available at certain times or in limited quantities
or overallocated such as when a resource has been assigned to two or more activities during the same
time period as shown in Figure 620 or to keep resource usage at a constant level Resource leveling
can often cause the original critical path to change usually to increase
Start
Activity A Tom 8 hrs
Sue 8 hrs
Activity B Sue 8 hrs
Activity C Tom 8 hrs
Tom 8 hrs
Sue 16 hrs
Tom 8 hrs
Day 2 Day 3Day 1
Start
Activity A Tom 8 hrs
Sue 8 hrs
Activity B Sue 8 hrs
Activity C Tom 8 hrs
Tom 8 hrs
Sue 8 hrs
Sue 8 hrs Tom 8 hrs
Day 2 Day 3Day 1
Activities Before Resource Leveling
Activities After Resource Leveling
Figure 620 Resource Leveling180 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Resource Smoothing A technique that adjusts the activities of a schedule model such that the
requirements for resources on the project do not exceed certain predefined resource limits In resource
smoothing as opposed to resource leveling the project’s critical path is not changed and the completion
date may not be delayed In other words activities may only be delayed within their free and total float
Thus resource smoothing may not be able to optimize all resources
6625 Modeling Techniques
Examples of modeling techniques include but are not limited to
• WhatIf Scenario Analysis Whatif scenario analysis is the process of evaluating scenarios in order
to predict their effect positively or negatively on project objectives This is an analysis of the question
What if the situation represented by scenario X’ happens A schedule network analysis is performed
using the schedule to compute the different scenarios such as delaying a major component delivery
extending specific engineering durations or introducing external factors such as a strike or a change in
the permitting process The outcome of the whatif scenario analysis can be used to assess the feasibility
of the project schedule under adverse conditions and in preparing contingency and response plans to
overcome or mitigate the impact of unexpected situations
• Simulation Simulation involves calculating multiple project durations with different sets of activity
assumptions usually using probability distributions constructed from the threepoint estimates (described
in Section 6524) to account for uncertainty The most common simulation technique is Monte Carlo
analysis (Section 11422) in which a distribution of possible activity durations is defined for each activity
and used to calculate a distribution of possible outcomes for the total project
6626 Leads and Lags
Described in Section 6323 Leads and lags are refinements applied during network analysis to develop a
viable schedule by adjusting the start time of the successor activities Leads are used in limited circumstances to
advance a successor activity with respect to the predecessor activity and lags are used in limited circumstances
where processes require a set period of time to elapse between the predecessors and successors without work or
resource impact181©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6627 Schedule Compression
Schedule compression techniques are used to shorten the schedule duration without reducing the project
scope in order to meet schedule constraints imposed dates or other schedule objectives Schedule compression
techniques include but are not limited to
• Crashing A technique used to shorten the schedule duration for the least incremental cost by adding
resources Examples of crashing include approving overtime bringing in additional resources or paying
to expedite delivery to activities on the critical path Crashing works only for activities on the critical path
where additional resources will shorten the activity’s duration Crashing does not always produce a viable
alternative and may result in increased risk andor cost
• Fast tracking A schedule compression technique in which activities or phases normally done in sequence
are performed in parallel for at least a portion of their duration An example is constructing the foundation
for a building before completing all of the architectural drawings Fast tracking may result in rework and
increased risk Fast tracking only works if activities can be overlapped to shorten the project duration
6628 Scheduling Tool
Automated scheduling tools contain the schedule model and expedite the scheduling process by generating
start and finish dates based on the inputs of activities network diagrams resources and activity durations using
schedule network analysis A scheduling tool can be used in conjunction with other project management software
applications as well as manual methods
663 Develop Schedule Outputs
6631 Schedule Baseline
A schedule baseline is the approved version of a schedule model that can be changed only through formal
change control procedures and is used as a basis for comparison to actual results It is accepted and approved by
the appropriate stakeholders as the schedule baseline with baseline start dates and baseline finish dates During
monitoring and controlling the approved baseline dates are compared to the actual start and finish dates to determine
whether variances have occurred The schedule baseline is a component of the project management plan182 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
6632 Project Schedule
The outputs from a schedule model are schedule presentations The project schedule is an output of a schedule
model that presents linked activities with planned dates durations milestones and resources At a minimum the
project schedule includes a planned start date and planned finish date for each activity If resource planning is done
at an early stage then the project schedule remains preliminary until resource assignments have been confirmed
and scheduled start and finish dates are established This process usually occurs no later than the completion of the
project management plan (Section 4231) A target project schedule model may also be developed with a defined
target start and target finish for each activity The project schedule presentation may be presented in summary
form sometimes referred to as the master schedule or milestone schedule or presented in detail Although a
project schedule model can be presented in tabular form it is more often presented graphically using one or more
of the following formats which are classified as presentations
• Bar charts These charts also known as Gantt charts represent schedule information where activities
are listed on the vertical axis dates are shown on the horizontal axis and activity durations are shown
as horizontal bars placed according to start and finish dates Bar charts are relatively easy to read
and are frequently used in management presentations For control and management communications
the broader more comprehensive summary activity sometimes referred to as a hammock activity is
used between milestones or across multiple interdependent work packages and is displayed in bar
chart reports An example is the summary schedule portion of Figure 621 that is presented in a WBS
structured format
• Milestone charts These charts are similar to bar charts but only identify the scheduled start or
completion of major deliverables and key external interfaces An example is the milestone schedule
portion of Figure 621
• Project schedule network diagrams These diagrams are commonly presented in the activityonnode
diagram format showing activities and relationships without a time scale sometimes referred to as a
pure logic diagram as shown in Figure 611 or presented in a timescaled schedule network diagram
format that is sometimes called a logic bar chart as shown for the detailed schedule in Figure 621These
diagrams with activity date information usually show both the project network logic and the project’s
critical path schedule activities This example also shows how each work package is planned as a series
of related activities Another presentation of the project schedule network diagram is a timescaled logic
diagram These diagrams include a time scale and bars that represent the duration of activities with the
logical relationships It is optimized to show the relationships between activities where any number of
activities may appear on the same line of the diagram in sequence183©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Project Schedule Time Frame
Period 5Period 1 Period 2 Period 3
Activity
Identifier
11MB Begin New Product Z
Period 4
Calendar
units
Calendar
units
Calendar
units
Complete Component 1
Complete Component 2
Finish New Product Z
0
0
0
0
Activity Description
Project Schedule Time Frame
Period 5Period 1 Period 2 Period 3
Activity
Identifier
11MB 0
120
67
20
33
14
0
53
14
28
11
0
53
14
32
0
7
0
Period 4Activity Description
111M1
112M1
113MF
Complete Integration of Components 1 & 2 0113M1
Project Schedule Time Frame
Period 5Period 1 Period 2 Period 3
Activity
Identifier
11 Develop and Deliver New Product Z
Period 4
Work Package 1 Component 1
Work Package 2 Component 2
Work Package 3 Integrated Components 1 and 2
120
67
53
53
Activity Description
111
112
113
Milestone Schedule
Data Date
Data Date
Detailed Schedule
111T
11
111
111D
111B
112T
111M1
112
112D
112B
113M1
112M1
113
113G
113T
Data Date
SS
FS
113P
113MF
Summary Schedule
Begin New Product Z
Develop and Deliver Product Z
Work Package 1 Component 1
Design Component 1
Build Component 1
Test Component 1
Complete Component 1
Work Package 2 Component 2
Design Component 2
Build Component 2
Test Component 2
Complete Component 2
Work Package 3 Integrated Components 1 and 2
Integrate Components 1 and 2 as Product Z
Complete Integration of Components 1 and 2
Test Integrated Components as Product Z
Deliver Product Z
Finish New Product Z
Figure 621 Project Schedule Presentations —Examples184 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
Figure 621 shows schedule presentations for a sample project being executed with the work in progress
reported through the data date a point in time when the status of the project is recorded which is sometimes
also called the asof date or status date For a simple project schedule model Figure 621 reflects schedule
presentations in the forms of (1) a milestone schedule as a milestone chart (2) a summary schedule as a bar
chart and (3) a detailed schedule as a project schedule network diagram Figure 621 also visually shows the
relationships among the three different levels of schedule presentation
6633 Schedule Data
The schedule data for the project schedule model is the collection of information for describing and controlling
the schedule The schedule data includes at least the schedule milestones schedule activities activity attributes
and documentation of all identified assumptions and constraints The amount of additional data varies by application
area Information frequently supplied as supporting detail includes but is not limited to
• Resource requirements by time period often in the form of a resource histogram
• Alternative schedules such as bestcase or worstcase not resourceleveled or resourceleveled with
or without imposed dates and
• Scheduling of contingency reserves
Schedule data could also include such items as resource histograms cashflow projections and order and
delivery schedules
6634 Project Calendars
A project calendar identifies working days and shifts that are available for scheduled activities It distinguishes
time periods in days or parts of days that are available to complete scheduled activities from time periods that
are not available A schedule model may require more than one project calendar to allow for different work
periods for some activities to calculate the project schedule The project calendars may be updated
6635 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to
• Schedule baseline (Section 6631)
• Schedule management plan (Section 6131)185©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6636 Project Documents Updates
Project documents that may be updated include but are not limited to
• Activity resource requirements Resource leveling can have a significant effect on preliminary estimates
for the types and quantities of resources required If the resourceleveling analysis changes the project
resource requirements then the project resource requirements are updated
• Activity attributes Activity attributes (Section 6232) are updated to include any revised resource
requirements and any other revisions generated by the Develop Schedule process
• Calendars The calendar for each project may consist of multiple calendars project calendars individual
resource calendars etc as the basis for scheduling the project
• Risk register The risk register may need to be updated to reflect opportunities or threats perceived
through scheduling assumptions
67 Control Schedule
Control Schedule is the process of monitoring the status of project activities to update project progress and
manage changes to the schedule baseline to achieve the plan The key benefit of this process is that it provides
the means to recognize deviation from the plan and take corrective and preventive actions and thus minimize
risk The inputs tools and techniques and outputs of this process are depicted in Figure 622 Figure 623
depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Project schedule
3 Work performance data
4 Project calendars
5 Schedule data
6 Organizational process
assets
1 Performance reviews
2 Project management
software
3 Resource optimization
techniques
4 Modeling techniques
5 Leads and lags
6 Schedule compression
7 Scheduling tool
1 Work performance
information
2 Schedule forecasts
3 Change requests
4 Project management plan
updates
5 Project documents
updates
6 Organizational process
assets updates
Figure 622 Control Schedule Inputs Tools & Techniques and Outputs186 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
Project
Documents
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
Project Time Management
67
Control
Schedule
66
Develop
Schedule
• Work
performance
data
• Project
management
plan
• Organizational
process assets
• Organizational
process assets updates
• Schedule forecasts
• Work performance
information
• Project
documents
updates
• Project schedule
• Project calendars
• Schedule data
• Change requests
• Project
management plan
updates
42
Develop Project
Management
Plan
43
Direct and
Manage Project
Work
Enterprise
Organization
Figure 623 control Schedule data Flow diagram
Updating the schedule model requires knowing the actual performance to date Any change to the schedule
baseline can only be approved through the Perform Integrated Change Control process (Section 45) Control
Schedule as a component of the Perform Integrated Change Control process is concerned with
• Determining the current status of the project schedule
• Influencing the factors that create schedule changes
• Determining if the project schedule has changed and
• Managing the actual changes as they occur187©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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If any agile approach is utilized control schedule is concerned with
• Determining the current status of the project schedule by comparing the total amount of work delivered
and accepted against the estimates of work completed for the elapsed time cycle
• Conducting retrospective reviews (scheduled reviews to record lessons learned) for correcting processes
and improving if required
• Reprioritizing the remaining work plan (backlog)
• Determining the rate at which the deliverables are produced validated and accepted (velocity) in given
time per iteration (agreed work cycle duration typically two weeks or one month)
• Determining that the project schedule has changed and
• Managing the actual changes as they occur
671 Control Schedule Inputs
6711 Project Management Plan
Described in Section 4231 The project management plan contains the schedule management plan and the
schedule baseline The schedule management plan describes how the schedule will be managed and controlled
The schedule baseline is used as a reference to compare with actual results to determine if a change corrective
action or preventive action is necessary
6712 Project Schedule
Described in Section 6632 Project schedule refers to the most recent version with notations to indicate
updates completed activities and started activities as of the indicated data date
6713 Work Performance Data
Described in Section 4332 Work performance data refers to information about project progress such as which
activities have started their progress (eg actual duration remaining duration and physical percent complete)
and which activities have finished188 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
6714 Project Calendars
Described in Section 6634 A schedule model may require more than one project calendar to allow for
different work periods for some activities to calculate the schedule forecasts
6715 Schedule Data
Described in Section 6633 Schedule data will be reviewed and updated in the Control Schedule process
6716 Organizational Process Assets
Described in Section 214 The organizational process assets that influence the Control Schedule process
include but are not limited to
• Existing formal and informal schedule controlrelated policies procedures and guidelines
• Schedule control tools and
• Monitoring and reporting methods to be used
672 Control Schedule Tools and Techniques
6721 Performance Reviews
Performance reviews measure compare and analyze schedule performance such as actual start and
finish dates percent complete and remaining duration for work in progress Various techniques may be used
among them
• Trend analysis Trend analysis examines project performance over time to determine whether
performance is improving or deteriorating Graphical analysis techniques are valuable for understanding
performance to date and for comparison to future performance goals in the form of completion dates
• Critical path method (Section 6622) Comparing the progress along the critical path can help
determine schedule status The variance on the critical path will have a direct impact on the project end
date Evaluating the progress of activities on near critical paths can identify schedule risk189©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
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• Critical chain method (Section 6623) Comparing the amount of buffer remaining to the amount of
buffer needed to protect the delivery date can help determine schedule status The difference between
the buffer needed and the buffer remaining can determine whether corrective action is appropriate
• Earned value management (Section 7421) Schedule performance measurements such as schedule
variance (SV) and schedule performance index (SPI) are used to assess the magnitude of variation to the
original schedule baseline The total float and early finish variances are also essential planning components
to evaluate project time performance Important aspects of schedule control include determining the cause
and degree of variance relative to the schedule baseline (Section 6631) estimating the implications
of those variances for future work to completion and deciding whether corrective or preventive action
is required For example a major delay on any activity not on the critical path may have little effect on
the overall project schedule while a much shorter delay on a critical or nearcritical activity may require
immediate action For projects not using earned value management similar variance analysis can be
performed by comparing planned activity start or finish dates against actual start or finish dates to
identify variances between the schedule baseline and actual project performance Further analysis can
be performed to determine the cause and degree of variance relative to the schedule baseline and any
corrective or preventative actions needed
6722 Project Management Software
Project management software for scheduling provides the ability to track planned dates versus actual dates
to report variances to and progress made against the schedule baseline and to forecast the effects of changes
to the project schedule model
6723 Resource Optimization Techniques
Described in Section 6624 Resource optimization techniques involve the scheduling of activities and the
resources required by those activities while taking into consideration both the resource availability and the project
time
6724 Modeling Techniques
Described in Section 6625 Modeling techniques are used to review various scenarios guided by risk monitoring
to bring the schedule model into alignment with the project management plan and approved baseline190 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
6 PROJECT TIME MANAGEMENT
6725 Leads and Lags
Adjusting leads and lags is applied during network analysis to find ways to bring project activities that are
behind into alignment with the plan For example on a project to construct a new office building the landscaping
can be adjusted to start before the exterior work of the building is complete by increasing the lead time in the
relationship Or a technical writing team can adjust the start of editing the draft of a large document immediately
after the document is completed by eliminating or decreasing lag time
6726 Schedule Compression
Described in Section 6627 Schedule compression techniques are used to find ways to bring project activities
that are behind into alignment with the plan by fast tracking or crashing schedule for the remaining work
6727 Scheduling Tool
Schedule data is updated and compiled into the schedule model to reflect actual progress of the project and
remaining work to be completed The scheduling tool (Section 6628) and the supporting schedule data are used
in conjunction with manual methods or other project management software to perform schedule network analysis
to generate an updated project schedule
673 Control Schedule Outputs
6731 Work Performance Information
The calculated SV and SPI time performance indicators for WBS components in particular the work packages
and control accounts are documented and communicated to stakeholders
6732 Schedule Forecasts
Schedule forecasts are estimates or predictions of conditions and events in the project’s future based on
information and knowledge available at the time of the forecast Forecasts are updated and reissued based on
work performance information provided as the project is executed The information is based on the project’s past
performance and expected future performance and includes earned value performance indicators that could
impact the project in the future191©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6733 Change Requests
Schedule variance analysis along with review of progress reports results of performance measures and
modifications to the project scope or project schedule may result in change requests to the schedule baseline
scope baseline andor other components of the project management plan Change requests are processed for
review and disposition through the Perform Integrated Change Control process (Section 45) Preventive actions
may include recommended changes to eliminate or reduce the probability of negative schedule variances
6734 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to
• Schedule baseline Changes to the schedule baseline are incorporated in response to approved change
requests (Section 4431) related to project scope changes activity resources or activity duration
estimates The schedule baseline may be updated to reflect changes caused by schedule compression
techniques
• Schedule management plan The schedule management plan may be updated to reflect a change in
the way the schedule is managed
• Cost baseline The cost baseline may be updated to reflect approved change requests or changes caused
by compression techniques
6735 Project Documents Updates
Project documents that may be updated include but are not limited to
• Schedule Data New project schedule network diagrams may be developed to display approved remaining
durations and approved modifications to the schedule In some cases project schedule delays can be
so severe that development of a new target schedule with forecasted start and finish dates is needed to
provide realistic data for directing the work measuring performance and measuring progress
• Project Schedule An updated project schedule will be generated from the schedule model populated
with updated schedule data to reflect the schedule changes and manage the project
• Risk Register The risk register and risk response plans within it may also be updated based on the risks
that may arise due to schedule compression techniques192 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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6736 Organizational Process Assets Updates
Organizational process assets that may be updated include but are not limited to
• Causes of variances
• Corrective action chosen and the reasons and
• Other types of lessons learned from project schedule control193©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
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PROJECT COST MANAGEMENT
Project Cost Management includes the processes involved in planning estimating budgeting financing funding
managing and controlling costs so that the project can be completed within the approved budget
Figure 71 provides an overview of the following Project Cost Management processes
71 Plan Cost Management—The process that establishes the policies procedures and documentation
for planning managing expending and controlling project costs
72 Estimate Costs—The process of developing an approximation of the monetary resources needed to
complete project activities
73 Determine Budget—The process of aggregating the estimated costs of individual activities or work
packages to establish an authorized cost baseline
74 Control Costs—The process of monitoring the status of the project to update the project costs and
managing changes to the cost baseline
These processes interact with each other and with processes in other Knowledge Areas as described in
detail in Section 3 and Annex A1
On some projects especially those of smaller scope cost estimating and cost budgeting are tightly linked
and can be viewed as a single process that can be performed by a single person over a relatively short period
of time These are presented here as distinct processes because the tools and techniques for each are different
The ability to influence cost is greatest at the early stages of the project making early scope definition critical
(Section 53)
77194 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
1 Inputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Analytical techniques
3 Meetings
3 Outputs
1 Cost management plan
1 Inputs
1 Cost management plan
2 Human resource management
plan
3 Scope baseline
4 Project schedule
5 Risk register
6 Enterprise environmental
factors
7 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Analogous estimating
3 Parametric estimating
4 Bottomup estimating
5 Threepoint estimating
6 Reserve analysis
7 Cost of quality
8 Project management software
9 Vendor bid analysis
10 Group decisionmaking
techniques
3 Outputs
1 Activity cost estimates
2 Basis of estimates
3 Project documents updates
1 Inputs
1 Cost management plan
2 Scope baseline
3 Activity cost estimates
4 Basis of estimates
5 Project schedule
6 Resource calendars
7 Risk register
8 Agreements
9 Organizational process assets
2 Tools & Techniques
1 Cost aggregation
2 Reserve analysis
3 Expert judgment
4 Historical relationships
5 Funding limit reconciliation
3 Outputs
1 Cost baseline
2 Project funding requirements
3 Project documents updates
1 Inputs
1 Project management plan
2 Project funding requirements
3 Work performance data
4 Organizational process assets
2 Tools & Techniques
1 Earned value management
2 Forecasting
3 Tocomplete performance
index (TCPI)
4 Performance reviews
5 Project management software
6 Reserve analysis
3 Outputs
1 Work performance
information
2 Cost forecasts
3 Change requests
4 Project management plan
updates
5 Project documents updates
6 Organizational process assets
updates
Project Cost Management
Overview
72 Estimate Costs71 Plan Cost
Management 73 Determine Budget
74 Control Costs
Figure 71 Project Cost Management Overview195©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
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Project Cost Management should consider the stakeholder requirements for managing costs Different
stakeholders will measure project costs in different ways and at different times For example the cost of an
acquired item may be measured when the acquisition decision is made or committed the order is placed the item
is delivered or the actual cost is incurred or recorded for project accounting purposes
Project Cost Management is primarily concerned with the cost of the resources needed to complete project
activities Project Cost Management should also consider the effect of project decisions on the subsequent recurring
cost of using maintaining and supporting the product service or result of the project For example limiting the
number of design reviews can reduce the cost of the project but could increase the resulting product’s operating
costs
In many organizations predicting and analyzing the prospective financial performance of the project’s product is
performed outside of the project In others such as a capital facilities project Project Cost Management can include
this work When such predictions and analyses are included Project Cost Management may address additional
processes and numerous general financial management techniques such as return on investment discounted cash
flow and investment payback analysis
The cost management planning effort occurs early in project planning and sets the framework for each of the
cost management processes so that performance of the processes will be efficient and coordinated
71 Plan Cost Management
Plan Cost Management is the process that establishes the policies procedures and documentation for planning
managing expending and controlling project costs The key benefit of this process is that it provides guidance and
direction on how the project costs will be managed throughout the project The inputs tools and techniques and
outputs of this process are depicted in Figure 72 Figure 73 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process
assets
1 Expert judgment
2 Analytical techniques
3 Meetings
1 Cost management plan
Figure 72 Plan Cost Management Inputs Tools & Techniques and Outputs196 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
Project Cost Management
71
Plan Cost
Management
62
Define
Activities
63
Sequence
Activities
• Project charter
• Project
management
plan
• Enterprise
environmental
factors
• Organizational
process assets
• Cost
management
plan
42
Develop Project
Management
Plan
112
Identify
Risks
114
Perform
Quantitative
Risk Analysis
41
Develop Project
Charter
Enterprise
Organization
Figure 73 Plan cost Management data Flow diagram
The cost management processes and their associated tools and techniques are documented in the cost
management plan The cost management plan is a component of the project management plan
711 Plan cost Management Inputs
7111 Project Management Plan
Described in Section 4231 The project management plan contains information used to develop the cost
management plan which contains but is not limited to
• Scope baseline The scope baseline includes the project scope statement and WBS detail for cost
estimation and management
• Schedule baseline The schedule baseline defines when the project costs will be incurred
• other information Other costrelated scheduling risk and communications decisions from the project
management plan197©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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7112 Project Charter
Described in Section 4131 The project charter provides the summary budget from which the detailed project
costs are developed The project charter also defines the project approval requirements that will influence the
management of the project costs
7113 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that influence the Plan Cost Management
process include but are not limited to
• Organizational culture and structure can all influence cost management
• Market conditions describe what products services and results are available in the regional and global
market
• Currency exchange rates for project costs sourced from more than one country
• Published commercial information such as resource cost rate information is often available from
commercial databases that track skills and human resource costs and provide standard costs for material
and equipment Published seller price lists are another source of information and
• Project management information system which provides alternative possibilities for managing cost
7114 Organizational Process Assets
Described in Section 214 The organizational process assets that influence the Plan Cost Management process
include but are not limited to
• Financial controls procedures (eg time reporting required expenditure and disbursement reviews
accounting codes and standard contract provisions)
• Historical information and lessons learned knowledge bases
• Financial databases and
• Existing formal and informal cost estimating and budgetingrelated policies procedures and guidelines198 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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712 Plan Cost Management Tools and Techniques
7121 Expert Judgment
Expert judgment guided by historical information provides valuable insight about the environment and
information from prior similar projects Expert judgment can also suggest whether to combine methods and how to
reconcile differences between them
Judgment based upon expertise in an application area Knowledge Area discipline industry etc as appropriate
for the activity being performed should be used in developing the cost management plan
7122 Analytical Techniques
Developing the cost management plan may involve choosing strategic options to fund the project such as
selffunding funding with equity or funding with debt The cost management plan may also detail ways to finance
project resources such as making purchasing renting or leasing These decisions like other financial decisions
affecting the project may affect project schedule andor risks
Organizational policies and procedures may influence which financial techniques are employed in these
decisions Techniques may include (but are not limited to) payback period return on investment internal rate of
return discounted cash flow and net present value
7123 Meetings
Project teams may hold planning meetings to develop the cost management plan Attendees at these meetings
may include the project manager the project sponsor selected project team members selected stakeholders
anyone with responsibility for project costs and others as needed
713 Plan Cost Management Outputs
7131 Cost Management Plan
The cost management plan is a component of the project management plan and describes how the project
costs will be planned structured and controlled The cost management processes and their associated tools and
techniques are documented in the cost management plan199©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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For example the cost management plan can establish the following
• Units of measure Each unit used in measurements (such as staff hours staff days weeks for time
measures or meters liters tons kilometers or cubic yards for quantity measures or lump sum in
currency form) is defined for each of the resources
• Level of precision The degree to which activity cost estimates will be rounded up or down (eg
US10049 to US100 or US99559 to US1000) based on the scope of the activities and magnitude
of the project
• Level of accuracy The acceptable range (eg ±10) used in determining realistic activity cost estimates
is specified and may include an amount for contingencies
• Organizational procedures links The work breakdown structure (WBS) (Section 54) provides the
framework for the cost management plan allowing for consistency with the estimates budgets and
control of costs The WBS component used for the project cost accounting is called the control account
Each control account is assigned a unique code or account number(s) that links directly to the performing
organization’s accounting system
• Control thresholds Variance thresholds for monitoring cost performance may be specified to indicate
an agreedupon amount of variation to be allowed before some action needs to be taken Thresholds are
typically expressed as percentage deviations from the baseline plan
• Rules of performance measurement Earned value management (EVM) rules of performance
measurement are set For example the cost management plan may
○○ Define the points in the WBS at which measurement of control accounts will be performed
○○ Establish the earned value measurement techniques (eg weighted milestones fixedformula
percent complete etc) to be employed and
○○ Specify tracking methodologies and the earned value management computation equations for
calculating projected estimate at completion (EAC) forecasts to provide a validity check on the
bottomup EAC
For more specific information regarding earned value management refer to the Practice Standard for
Earned Value Management – Second Edition200 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
• Reporting formats The formats and frequency for the various cost reports are defined
• Process descriptions Descriptions of each of the other cost management processes are documented
• Additional details Additional details about cost management activities include but are not limited to
○○ Description of strategic funding choices
○○ Procedure to account for fluctuations in currency exchange rates and
○○ Procedure for project cost recording
72 Estimate Costs
Estimate Costs is the process of developing an approximation of the monetary resources needed to complete
project activities The key benefit of this process is that it determines the amount of cost required to complete
project work The inputs tools and techniques and outputs of this process are depicted in Figure 74 Figure 75
depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Cost management plan
2 Human resource
management plan
3 Scope baseline
4 Project schedule
5 Risk register
6 Enterprise environmental
factors
7 Organizational process
assets
1 Expert judgment
2 Analogous estimating
3 Parametric estimating
4 Bottomup estimating
5 Threepoint estimating
6 Reserve analysis
7 Cost of quality
8 Project management
software
9 Vendor bid analysis
10 Group decisionmaking
techniques
1 Activity cost estimates
2 Basis of estimates
3 Project documents
updates
Figure 74 Estimate Costs Inputs Tools & Techniques and Outputs201©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
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Project Cost Management
72
Estimate
Costs
73
Determine
Budget
• Cost
management
plan
• Project documents
updates
• Activity cost
estimates
• Basis of
estimates
Project
Documents
• Risk register
• Human resource
management plan
• Scope baseline
• Project schedule
• Enterprise
environmental
factors
• Organizational
process assets
112
Identify
Risks
91
Plan Human
Resource
Management
54
Create
WBS
66
Develop
Schedule
Enterprise
Organization
112
Identify
Risks
64
Estimate Activity
Resources
121
Plan Procurement
Management
71
Plan Cost
Management
Figure 75 Estimate Costs Data Flow Diagram
Cost estimates are a prediction that is based on the information known at a given point in time Cost estimates
include the identification and consideration of costing alternatives to initiate and complete the project Cost trade
offs and risks should be considered such as make versus buy buy versus lease and the sharing of resources in
order to achieve optimal costs for the project
Cost estimates are generally expressed in units of some currency (ie dollars euros yen etc) although in
some instances other units of measure such as staff hours or staff days are used to facilitate comparisons by
eliminating the effects of currency fluctuations
Cost estimates should be reviewed and refined during the course of the project to reflect additional detail
as it becomes available and assumptions are tested The accuracy of a project estimate will increase as the
project progresses through the project life cycle For example a project in the initiation phase may have a rough
order of magnitude (ROM) estimate in the range of −25 to +75 Later in the project as more information is
known definitive estimates could narrow the range of accuracy to 5 to +10 In some organizations there are
guidelines for when such refinements can be made and the degree of confidence or accuracy that is expected202 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
Sources of input information are derived from the outputs of processes in other Knowledge Areas Once received
all of this information will remain available as inputs to all of the cost management processes
Costs are estimated for all resources that will be charged to the project This includes but is not limited to labor
materials equipment services and facilities as well as special categories such as an inflation allowance cost
of financing or contingency costs A cost estimate is a quantitative assessment of the likely costs for resources
required to complete the activity Cost estimates may be presented at the activity level or in summary form
721 Estimate Costs Inputs
7211 Cost Management Plan
Described in Section 7131 The cost management plan defines how project costs will be managed and
controlled It includes the method used and the level of accuracy required to estimate activity cost
7212 Human Resource Management Plan
Described in Section 9131 The human resource management plan provides project staffing attributes
personnel rates and related rewardsrecognition which are necessary components for developing the project cost
estimates
7213 Scope Baseline
The scope baseline is comprised of the following
• Project scope statement The project scope statement (Section 5331) provides the product description
acceptance criteria key deliverables project boundaries assumptions and constraints about the project
One basic assumption that needs to be made when estimating project costs is whether the estimates will
be limited to direct project costs only or whether the estimates will also include indirect costs Indirect
costs are those costs that cannot be directly traced to a specific project and therefore will be accumulated
and allocated equitably over multiple projects by some approved and documented accounting procedure
One of the most common constraints for many projects is a limited project budget Examples of other
constraints are required delivery dates available skilled resources and organizational policies
• Work breakdown structure The WBS (Section 54) provides the relationships among all the components
of the project and the project deliverables
• WBS dictionary The WBS dictionary (Section 5431) provides detailed information about the deliverables
and a description of the work for each component in the WBS required to produce each deliverable203©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Additional information that may be found in the scope baseline with contractual and legal implications such as
health safety security performance environmental insurance intellectual property rights licenses and permits
All of this information should be considered when developing the cost estimates
7214 Project Schedule
Described in Section 6632 The type and quantity of resources and the amount of time which those resources
are applied to complete the work of the project are major factors in determining the project cost Schedule activity
resources and their respective durations are used as key inputs to this process Estimate Activity Resources (Section
64) involves determining the availability of staff the number of staff hours required and quantities of material and
equipment needed to perform schedule activities It is closely coordinated with cost estimating Activity duration
estimates (Section 6531) will affect cost estimates on any project where the project budget includes an allowance
for the cost of financing (including interest charges) and where resources are applied per unit of time for the
duration of the activity Activity duration estimates can also affect cost estimates that have timesensitive costs
included in them such as union labor with regularly expiring collective bargaining agreements or materials with
seasonal cost variations
7215 Risk Register
Described in Section 11231 The risk register should be reviewed to consider risk response costs Risks
which can be either threats or opportunities typically have an impact on both activity and overall project costs As
a general rule when the project experiences a negative risk event the nearterm cost of the project will usually
increase and there will sometimes be a delay in the project schedule In a similar way the project team should
be sensitive to potential opportunities that can benefit the business either by directly reducing activity costs or by
accelerating the schedule
7216 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that influence the Estimate Costs process
include but are not limited to
• Market conditions These conditions describe what products services and results are available in the
market from whom and under what terms and conditions Regional andor global supply and demand
conditions greatly influence resource costs204 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
• Published commercial information Resource cost rate information is often available from commercial
databases that track skills and human resource costs and provide standard costs for material and
equipment Published seller price lists are another source of information
7217 Organizational Process Assets
Described in Section 214 The organizational process assets that influence the Estimate Costs process include
but are not limited to
• Cost estimating policies
• Cost estimating templates
• Historical information and
• Lessons learned
722 Estimate Costs Tools and Techniques
7221 Expert Judgment
Expert judgment guided by historical information provides valuable insight about the environment and
information from prior similar projects Expert judgment can also be used to determine whether to combine methods
of estimating and how to reconcile differences between them
7222 Analogous Estimating
Analogous cost estimating uses the values such as scope cost budget and duration or measures of scale such
as size weight and complexity from a previous similar project as the basis for estimating the same parameter
or measurement for a current project When estimating costs this technique relies on the actual cost of previous
similar projects as the basis for estimating the cost of the current project It is a gross value estimating approach
sometimes adjusted for known differences in project complexity
Analogous cost estimating is frequently used to estimate a value when there is a limited amount of detailed
information about the project for example in the early phases of a project Analogous cost estimating uses
historical information and expert judgment205©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
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Analogous cost estimating is generally less costly and less time consuming than other techniques but it is also
generally less accurate Analogous cost estimates can be applied to a total project or to segments of a project in
conjunction with other estimating methods Analogous estimating is most reliable when the previous projects are
similar in fact and not just in appearance and the project team members preparing the estimates have the needed
expertise
7223 Parametric Estimating
Parametric estimating uses a statistical relationship between relevant historical data and other variables (eg
square footage in construction) to calculate a cost estimate for project work This technique can produce higher
levels of accuracy depending upon the sophistication and underlying data built into the model Parametric cost
estimates can be applied to a total project or to segments of a project in conjunction with other estimating methods
7224 BottomUp Estimating
Bottomup estimating is a method of estimating a component of work The cost of individual work packages or
activities is estimated to the greatest level of specified detail The detailed cost is then summarized or rolled up to
higher levels for subsequent reporting and tracking purposes The cost and accuracy of bottomup cost estimating
are typically influenced by the size and complexity of the individual activity or work package
7225 ThreePoint Estimating
The accuracy of singlepoint activity cost estimates may be improved by considering estimation uncertainty and
risk and using three estimates to define an approximate range for an activity’s cost
• Most likely (cM) The cost of the activity based on realistic effort assessment for the required work and
any predicted expenses
• Optimistic (cO) The activity cost based on analysis of the bestcase scenario for the activity
• Pessimistic (cP) The activity cost based on analysis of the worstcase scenario for the activity206 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Depending on the assumed distribution of values within the range of the three estimates the expected cost cE
can be calculated using a formula Two commonly used formulas are triangular and beta distributions The formulas
are
• Triangular Distribution cE (cO + cM + cP) 3
• Beta Distribution (from a traditional PERT analysis) cE (cO + 4cM + cP) 6
Cost estimates based on three points with an assumed distribution provide an expected cost and clarify the
range of uncertainty around the expected cost
7226 Reserve Analysis
Cost estimates may include contingency reserves (sometimes called contingency allowances) to account for
cost uncertainty Contingency reserves are the budget within the cost baseline that is allocated for identified risks
which are accepted and for which contingent or mitigating responses are developed Contingency reserves are
often viewed as the part of the budget intended to address the knownunknowns that can affect a project For
example rework for some project deliverables could be anticipated while the amount of this rework is unknown
Contingency reserves may be estimated to account for this unknown amount of rework Contingency reserves can
provide for a specific activity for the whole project or both The contingency reserve may be a percentage of the
estimated cost a fixed number or may be developed by using quantitative analysis methods
As more precise information about the project becomes available the contingency reserve may be used
reduced or eliminated Contingency should be clearly identified in cost documentation Contingency reserves are
part of the cost baseline and the overall funding requirements for the project
Estimates may also be produced for the amount of management reserve to be funded for the project
Management reserves are an amount of the project budget withheld for management control purposes and are
reserved for unforeseen work that is within scope of the project Management reserves are intended to address the
unknown unknowns that can affect a project The management reserve is not included in the cost baseline but
is part of the overall project budget and funding requirements When an amount of management reserves is used
to fund unforeseen work the amount of management reserve used is added to the cost baseline thus requiring an
approved change to the cost baseline
7227 Cost of Quality (COQ)
Assumptions about costs of quality (Section 8122) may be used to prepare the activity cost estimate207©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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7228 Project Management Software
Project management software applications computerized spreadsheets simulation and statistical tools are
used to assist with cost estimating Such tools can simplify the use of some costestimating techniques and thereby
facilitate rapid consideration of cost estimate alternatives
7229 Vendor Bid Analysis
Cost estimating methods may include analysis of what the project should cost based on the responsive bids from
qualified vendors When projects are awarded to a vendor under competitive processes additional cost estimating
work may be required of the project team to examine the price of individual deliverables and to derive a cost that
supports the final total project cost
72210 Group DecisionMaking Techniques
Teambased approaches such as brainstorming the Delphi or nominal group techniques are useful for engaging
team members to improve estimate accuracy and commitment to the emerging estimates By involving a structured
group of people who are close to the technical execution of work in the estimation process additional information is
gained and more accurate estimates are obtained Additionally when people are involved in the estimation process
their commitment towards meeting the resulting estimates increases
723 Estimate Costs Outputs
7231 Activity Cost Estimates
Activity cost estimates are quantitative assessments of the probable costs required to complete project
work Cost estimates can be presented in summary form or in detail Costs are estimated for all resources that
are applied to the activity cost estimate This includes but is not limited to direct labor materials equipment
services facilities information technology and special categories such as cost of financing (including interest
charges) an inflation allowance exchange rates or a cost contingency reserve Indirect costs if they are included
in the project estimate can be included at the activity level or at higher levels208 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7232 Basis of Estimates
The amount and type of additional details supporting the cost estimate vary by application area Regardless of
the level of detail the supporting documentation should provide a clear and complete understanding of how the
cost estimate was derived
Supporting detail for activity cost estimates may include
• Documentation of the basis of the estimate (ie how it was developed)
• Documentation of all assumptions made
• Documentation of any known constraints
• Indication of the range of possible estimates (eg €10000 (±10) to indicate that the item is expected
to cost between a range of values) and
• Indication of the confidence level of the final estimate
7233 Project Documents Updates
Project documents that may be updated include but are not limited to the risk register
73 Determine Budget
Determine Budget is the process of aggregating the estimated costs of individual activities or work packages to
establish an authorized cost baseline The key benefit of this process is that it determines the cost baseline against
which project performance can be monitored and controlled The inputs tools and techniques and outputs of this
process are depicted in Figure 76 Figure 77 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Cost management plan
2 Scope baseline
3 Activity cost estimates
4 Basis of estimates
5 Project schedule
6 Resource calendars
7 Risk register
8 Agreements
9 Organizational process
assets
1 Cost aggregation
2 Reserve analysis
3 Expert judgment
4 Historical relationships
5 Funding limit
reconciliation
1 Cost baseline
2 Project funding
requirements
3 Project documents
updates
Figure 76 Determine Budget Inputs Tools & Techniques and Outputs209©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7
Project Cost Management
73
Determine
Budget
74
Control
Costs
• Cost
management
plan
• Activity cost estimates
• Basis of estimates
• Project documents
updates
• Cost baseline
• Project
funding
requirements
Project
Documents
• Risk register
• Agreements
• Organizational
process assets
• Resource calendars
• Scope baseline• Project schedule
• Resource
calendars
112
Identify
Risks
122
Conduct
Procurements
92
Acquire Project
Team
54
Create
WBS
66
Develop
Schedule
Enterprise
Organization
42
Develop Project
Management
Plan
71
Plan Cost
Management
72
Estimate
Costs
Figure 77 Determine Budget Data Flow Diagram
A project budget includes all the funds authorized to execute the project The cost baseline is the approved
version of the timephased project budget but excludes management reserves
731 Determine Budget Inputs
7311 Cost Management Plan
Described in Section 7131 The cost management plan describes how the project costs will be managed and
controlled210 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7312 Scope Baseline
• Project scope statement Formal limitations by period for the expenditure of project funds can be
mandated by the organization by agreement (Section 12232) or by other entities such as government
agencies These funding constraints are reflected in the project scope statement
• Work breakdown structure The WBS (Section 54) provides the relationships among all the project
deliverables and their various components
• WBS dictionary The WBS dictionary (Section 5431) and related detailed statements of work provide
an identification of the deliverables and a description of the work in each WBS component required to
produce each deliverable
7313 Activity Cost Estimates
Described in Section 7231 Cost estimates for each activity within a work package are aggregated to obtain a
cost estimate for each work package
7314 Basis of Estimates
Described in Section 7232 Supporting detail for cost estimates contained in the basis for estimates should
specify any basic assumptions dealing with the inclusion or exclusion of indirect or other costs in the project budget
7315 Project Schedule
Described in Section 6632 The project schedule includes planned start and finish dates for the project’s
activities milestones work packages and control accounts This information can be used to aggregate costs to the
calendar periods in which the costs are planned to be incurred
7316 Resource Calendars
Described in Sections 9232 and 12233 Resource calendars provide information on which resources are
assigned to the project and when they are assigned This information can be used to indicate resource costs over
the duration of the project
7317 Risk Register
Described in Section 11231 The risk register should be reviewed to consider how to aggregate the risk response
costs Updates to the risk register are included with project document updates described in Section 11532211©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
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7318 Agreements
Described in Section 12232 Applicable agreement information and costs relating to products services or
results that have been or will be purchased are included when determining the budget
7319 Organizational Process Assets
Described in Section 214 The organizational process assets that influence the Determine Budget process
include but are not limited to
• Existing formal and informal cost budgetingrelated policies procedures and guidelines
• Cost budgeting tools and
• Reporting methods
732 Determine Budget Tools and Techniques
7321 Cost Aggregation
Cost estimates are aggregated by work packages in accordance with the WBS The work package cost estimates
are then aggregated for the higher component levels of the WBS (such as control accounts) and ultimately for the
entire project
7322 Reserve Analysis
Budget reserve analysis can establish both the contingency reserves and the management reserves for the
project Management and contingency reserves are addressed in more detail in Section 7226
7323 Expert Judgment
Expert judgment guided by experience in an application area Knowledge Area discipline industry or similar
project aids in determining the budget Such expertise may be provided by any group or person with specialized
education knowledge skill experience or training Expert judgment is available from many sources including but
not limited to212 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
• Other units within the performing organization
• Consultants
• Stakeholders including customers
• Professional and technical associations and
• Industry groups
7324 Historical Relationships
Any historical relationships that result in parametric estimates or analogous estimates involve the use of project
characteristics (parameters) to develop mathematical models to predict total project costs Such models may be
simple (eg residential home construction is based on a certain cost per square foot of space) or complex (eg one
model of software development costing uses multiple separate adjustment factors each of which has numerous
points within it)
Both the cost and accuracy of analogous and parametric models can vary widely They are most likely to be
reliable when
• Historical information used to develop the model is accurate
• Parameters used in the model are readily quantifiable and
• Models are scalable such that they work for large projects small projects and phases of a project
7325 Funding Limit Reconciliation
The expenditure of funds should be reconciled with any funding limits on the commitment of funds for the project
A variance between the funding limits and the planned expenditures will sometimes necessitate the rescheduling of
work to level out the rate of expenditures This is accomplished by placing imposed date constraints for work into
the project schedule
733 Determine Budget Outputs
7331 Cost Baseline
The cost baseline is the approved version of the timephased project budget excluding any management reserves
which can only be changed through formal change control procedures and is used as a basis for comparison to
actual results It is developed as a summation of the approved budgets for the different schedule activities213©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7
Figure 78 illustrates the various components of the project budget and cost baseline Activity cost estimates
for the various project activities along with any contingency reserves (Section 7226) for these activities are
aggregated into their associated work package costs The work package cost estimates along with any contingency
reserves estimated for the work packages are aggregated into control accounts The summation of the control
accounts make up the cost baseline Since the cost estimates that make up the cost baseline are directly tied to the
schedule activities this enables a timephased view of the cost baseline which is typically displayed in the form of
an Scurve as is illustrated in Figure 79
Management reserves (Section 7226) are added to the cost baseline to produce the project budget As changes
warranting the use of management reserves arise the change control process is used to obtain approval to move
the applicable management reserve funds into the cost baseline
Activity Cost
Estimates
Activity
Contingency ReserveWork Package
Cost Estimates
Contingency
ReserveCost
Baseline
Control
Accounts
Management
Reserve
Project
Budget
Project Budget Component
Total Amount
Figure 78 Project Budget Components214 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
BAC
Project Budget
Management Reserve
Funding Requirements
Cost Baseline
Expenditures
Time
Cumulative Values
Figure 79 Cost Baseline Expenditures and Funding Requirements
7332 Project Funding Requirements
Total funding requirements and periodic funding requirements (eg quarterly annually) are derived from the
cost baseline The cost baseline will include projected expenditures plus anticipated liabilities Funding often occurs
in incremental amounts that are not continuous and may not be evenly distributed which appear as steps as
shown in Figure 79 The total funds required are those included in the cost baseline plus management reserves
if any Funding requirements may include the source(s) of the funding
7333 Project Documents Updates
Project documents that may be updated include but are not limited to
• Risk register
• Activity cost estimates and
• Project schedule215©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7
74 Control Costs
Control Costs is the process of monitoring the status of the project to update the project costs and managing
changes to the cost baseline The key benefit of this process is that it provides the means to recognize variance
from the plan in order to take corrective action and minimize risk The inputs tools and techniques and outputs of
this process are depicted in Figure 710 Figure 711 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Project funding
requirements
3 Work performance data
4 Organizational process
assets
1 Earned value
management
2 Forecasting
3 Tocomplete
performance index (TCPI)
4 Performance reviews
5 Project management
software
6 Reserve analysis
1 Work performance
information
2 Cost forecasts
3 Change requests
4 Project management plan
updates
5 Project documents
updates
6 Organizational process
assets updates
Figure 710 Control Costs Inputs Tools & Techniques and Outputs
Project Cost Management
74
Control
Costs
• Project funding
requirements
• Project documents
updates
• Change
requests
• Work performance
information
• Cost
forecasts
• Organizational
process assets
updates
Project
Documents
• Project
management
plan
• Work performance
data
• Organizational
process assets
43
Direct and
Manage Project
Work
42
Develop Project
Management
Plan
Enterprise
Organization
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
73
Determine
Budget
Figure 711 Control Costs Data Flow Diagram216 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
Updating the budget requires knowledge of the actual costs spent to date Any increase to the authorized
budget can only be approved through the Perform Integrated Change Control process (Section 45) Monitoring the
expenditure of funds without regard to the value of work being accomplished for such expenditures has little value
to the project other than to allow the project team to stay within the authorized funding Much of the effort of cost
control involves analyzing the relationship between the consumption of project funds to the physical work being
accomplished for such expenditures The key to effective cost control is the management of the approved cost
baseline and the changes to that baseline
Project cost control includes
• Influencing the factors that create changes to the authorized cost baseline
• Ensuring that all change requests are acted on in a timely manner
• Managing the actual changes when and as they occur
• Ensuring that cost expenditures do not exceed the authorized funding by period by WBS component by
activity and in total for the project
• Monitoring cost performance to isolate and understand variances from the approved cost baseline
• Monitoring work performance against funds expended
• Preventing unapproved changes from being included in the reported cost or resource usage
• Informing appropriate stakeholders of all approved changes and associated cost and
• Bringing expected cost overruns within acceptable limits
741 Control Costs Inputs
7411 Project Management Plan
Described in Section 4231 The project management plan contains the following information that is used to
control cost
• Cost baseline The cost baseline is compared with actual results to determine if a change corrective
action or preventive action is necessary
• Cost management plan The cost management plan describes how the project costs will be managed
and controlled (Section 7131)217©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7
7412 Project Funding Requirements
Described in Section 7332 The project funding requirements include projected expenditures plus anticipated
liabilities
7413 Work Performance Data
Described in Section 4332 Work performance data includes information about project progress such as
which activities have started their progress and which deliverables have finished Information also includes costs
that have been authorized and incurred
7414 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Control Costs process
include but are not limited to
• Existing formal and informal cost controlrelated policies procedures and guidelines
• Cost control tools and
• Monitoring and reporting methods to be used
742 Control Costs Tools and Techniques
7421 Earned Value Management
Earned value management (EVM) is a methodology that combines scope schedule and resource
measurements to assess project performance and progress It is a commonly used method of performance
measurement for projects It integrates the scope baseline with the cost baseline along with the schedule
baseline to form the performance baseline which helps the project management team assess and measure
project performance and progress It is a project management technique that requires the formation of an
integrated baseline against which performance can be measured for the duration of the project The principles
of EVM can be applied to all projects in any industry EVM develops and monitors three key dimensions for each
work package and control account218 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
• Planned value Planned value (PV) is the authorized budget assigned to scheduled work It is the
authorized budget planned for the work to be accomplished for an activity or work breakdown structure
component not including management reserve This budget is allocated by phase over the life of
the project but at a given moment planned value defines the physical work that should have been
accomplished The total of the PV is sometimes referred to as the performance measurement baseline
(PMB) The total planned value for the project is also known as budget at completion (BAC)
• Earned value Earned value (EV) is a measure of work performed expressed in terms of the budget
authorized for that work It is the budget associated with the authorized work that has been completed
The EV being measured needs to be related to the PMB and the EV measured cannot be greater than the
authorized PV budget for a component The EV is often used to calculate the percent complete of a project
Progress measurement criteria should be established for each WBS component to measure work in
progress Project managers monitor EV both incrementally to determine current status and cumulatively
to determine the longterm performance trends
• Actual cost Actual cost (AC) is the realized cost incurred for the work performed on an activity during
a specific time period It is the total cost incurred in accomplishing the work that the EV measured The
AC needs to correspond in definition to what was budgeted in the PV and measured in the EV (eg
direct hours only direct costs only or all costs including indirect costs) The AC will have no upper limit
whatever is spent to achieve the EV will be measured
Variances from the approved baseline will also be monitored
• Schedule variance Schedule variance (SV) is a measure of schedule performance expressed as the
difference between the earned value and the planned value It is the amount by which the project is ahead
or behind the planned delivery date at a given point in time It is a measure of schedule performance on
a project It is equal to the earned value (EV) minus the planned value (PV) The EVM schedule variance is
a useful metric in that it can indicate when a project is falling behind or is ahead of its baseline schedule
The EVM schedule variance will ultimately equal zero when the project is completed because all of the
planned values will have been earned Schedule variance is best used in conjunction with critical path
methodology (CPM) scheduling and risk management Equation SV EV – PV
• Cost variance Cost variance (CV) is the amount of budget deficit or surplus at a given point in time
expressed as the difference between earned value and the actual cost It is a measure of cost performance
on a project It is equal to the earned value (EV) minus the actual cost (AC) The cost variance at the end
of the project will be the difference between the budget at completion (BAC) and the actual amount spent
The CV is particularly critical because it indicates the relationship of physical performance to the costs
spent Negative CV is often difficult for the project to recover Equation CV EV − AC 219©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7
The SV and CV values can be converted to efficiency indicators to reflect the cost and schedule
performance of any project for comparison against all other projects or within a portfolio of projects The
variances are useful for determining project status
• Schedule performance index The schedule performance index (SPI) is a measure of schedule efficiency
expressed as the ratio of earned value to planned value It measures how efficiently the project team is
using its time It is sometimes used in conjunction with the cost performance index (CPI) to forecast the
final project completion estimates An SPI value less than 10 indicates less work was completed than
was planned An SPI greater than 10 indicates that more work was completed than was planned Since
the SPI measures all project work the performance on the critical path also needs to be analyzed to
determine whether the project will finish ahead of or behind its planned finish date The SPI is equal to
the ratio of the EV to the PV Equation SPI EVPV
• Cost performance index The cost performance index (CPI) is a measure of the cost efficiency of budgeted
resources expressed as a ratio of earned value to actual cost It is considered the most critical EVM
metric and measures the cost efficiency for the work completed A CPI value of less than 10 indicates a
cost overrun for work completed A CPI value greater than 10 indicates a cost underrun of performance
to date The CPI is equal to the ratio of the EV to the AC The indices are useful for determining project
status and providing a basis for estimating project cost and schedule outcome Equation CPI EVAC
The three parameters of planned value earned value and actual cost can be monitored and reported on both
a periodbyperiod basis (typically weekly or monthly) and on a cumulative basis Figure 712 uses Scurves to
display EV data for a project that is performing over budget and behind the schedule
BAC
ETC
Project Budget
Management Reserve
Planned
Value (PV)
Earned
Value (PV)
Actual
Cost (AC)
EAC
Time
Cumulative Cost
Data Date
Figure 712 Earned Value Planned Value and Actual Costs220 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7422 Forecasting
As the project progresses the project team may develop a forecast for the estimate at completion (EAC) that
may differ from the budget at completion (BAC) based on the project performance If it becomes obvious that the
BAC is no longer viable the project manager should consider the forecasted EAC Forecasting the EAC involves
making projections of conditions and events in the project’s future based on current performance information
and other knowledge available at the time of the forecast Forecasts are generated updated and reissued based
on work performance data (Section 4332) that is provided as the project is executed The work performance
information covers the project’s past performance and any information that could impact the project in the future
EACs are typically based on the actual costs incurred for work completed plus an estimate to complete (ETC)
the remaining work It is incumbent on the project team to predict what it may encounter to perform the ETC based
on its experience to date The EVM method works well in conjunction with manual forecasts of the required EAC
costs The most common EAC forecasting approach is a manual bottomup summation by the project manager
and project team
The project manager’s bottomup EAC method builds upon the actual costs and experience incurred for
the work completed and requires a new estimate to complete the remaining project work Equation EAC
AC + Bottomup ETC
The project manager’s manual EAC is quickly compared with a range of calculated EACs representing various
risk scenarios When calculating EAC values the cumulative CPI and SPI values are typically used While EVM data
quickly provide many statistical EACs only three of the more common methods are described as follows
• EAC forecast for ETC work performed at the budgeted rate This EAC method accepts the actual
project performance to date (whether favorable or unfavorable) as represented by the actual costs and
predicts that all future ETC work will be accomplished at the budgeted rate When actual performance
is unfavorable the assumption that future performance will improve should be accepted only when
supported by project risk analysis Equation EAC AC + (BAC – EV)
• EAC forecast for ETC work performed at the present CPI This method assumes what the project has
experienced to date can be expected to continue in the future The ETC work is assumed to be performed
at the same cumulative cost performance index (CPI) as that incurred by the project to date Equation
EAC BAC CPI221©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7
• EAC forecast for ETC work considering both SPI and CPI factors In this forecast the ETC work will
be performed at an efficiency rate that considers both the cost and schedule performance indices This
method is most useful when the project schedule is a factor impacting the ETC effort Variations of this
method weight the CPI and SPI at different values (eg 8020 5050 or some other ratio) according to
the project manager’s judgment Equation EAC AC + [(BAC – EV) (CPI × SPI)]
Each of these approaches is applicable for any given project and will provide the project management team with
an early warning signal if the EAC forecasts are not within acceptable tolerances
7423 ToComplete Performance Index (TCPI)
The tocomplete performance index (TCPI) is a measure of the cost performance that is required to be achieved
with the remaining resources in order to meet a specified management goal expressed as the ratio of the cost to
finish the outstanding work to the remaining budget TCPI is the calculated cost performance index that is achieved
on the remaining work to meet a specified management goal such as the BAC or the EAC If it becomes obvious
that the BAC is no longer viable the project manager should consider the forecasted EAC Once approved the EAC
may replace the BAC in the TCPI calculation The equation for the TCPI based on the BAC (BAC – EV) (BAC – AC)
The TCPI is conceptually displayed in Figure 713 The equation for the TCPI is shown in the lower left as the
work remaining (defined as the BAC minus the EV) divided by the funds remaining (which can be either the BAC
minus the AC or the EAC minus the AC)
If the cumulative CPI falls below the baseline (as shown in Figure 713) all future work of the project will need
to be performed immediately in the range of the TCPI (BAC) (as reflected in the top line of Figure 713) to stay
within the authorized BAC Whether this level of performance is achievable is a judgment call based on a number
of considerations including risk schedule and technical performance This level of performance is displayed as
the TCPI (EAC) line The equation for the TCPI based on the EAC (BAC – EV) (EAC – AC) The EVM formulas are
provided in Table 71222 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
Status Date
100
>1
<1
TCPI
(BAC)
TCPI
(EAC)
Baseline Plan
Cumulative
CPI
Formula
TCPIWork Remaining (BACEV)
Funds Remaining (BACAC) or (EACAC)
Figure 713 ToComplete Performance Index (TCPI)
7424 Performance Reviews
Performance reviews compare cost performance over time schedule activities or work packages overrunning
and underrunning the budget and estimated funds needed to complete work in progress If EVM is being used the
following information is determined
• Variance analysis Variance analysis as used in EVM is the explanation (cause impact and corrective
actions) for cost (CV EV – AC) schedule (SV EV – PV) and variance at completion (VAC BAC – EAC)
variances Cost and schedule variances are the most frequently analyzed measurements For projects
not using earned value management similar variance analyses can be performed by comparing planned
activity cost against actual activity cost to identify variances between the cost baseline and actual
project performance Further analysis can be performed to determine the cause and degree of variance
relative to the schedule baseline and any corrective or preventative actions needed Cost performance
measurements are used to assess the magnitude of variation to the original cost baseline An important
aspect of project cost control includes determining the cause and degree of variance relative to the
cost baseline (Section 7331) and deciding whether corrective or preventive action is required The
percentage range of acceptable variances will tend to decrease as more work is accomplished223©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
7
• Trend analysis Trend analysis examines project performance over time to determine if performance is
improving or deteriorating Graphical analysis techniques are valuable for understanding performance
to date and for comparison to future performance goals in the form of BAC versus EAC and completion
dates
• Earned value performance Earned value performance compares the performance measurement
baseline to actual schedule and cost performance If EVM is not being used then the analysis of the cost
baseline against actual costs for the work performed is used for cost performance comparisons224 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
Table 71 Earned Value Calculations Summary Table
Earned Value Analysis
Lexicon Definition How Used EquationAbbreviation Name Interpretation of Result
The authorized budget assigned to
scheduled work
The measure of work performed
expressed in terms of the budget
authorized for that work
The realized cost incurred for the
work performed on an activity during
a specific time period
The sum of all budgets established
for the work to be performed
The amount of budget deficit or
surplus at a given point in time
expressed as the difference between
the earned value and the actual cost
The amount by which the project is
ahead or behind the planned
delivery date at a given point in
time expressed as the difference
between the earned value and the
planned value
A projection of the amount of budget
deficit or surplus expressed as the
difference between the budget at
completion and the estimate at
completion
A measure of the cost efficiency of
budgeted resources
expressed as the ratio of earned
value to actual cost
A measure of schedule efficiency
expressed as the ratio of earned
value to planned value
The expected total cost of com
pleting all work expressed as the
sum of the actual cost to date and
the estimate to complete
The expected cost to finish all the
remaining project work
A measure of the cost performance
that must be achieved with the
remaining resources in order to meet
a specified management goal
expressed as the ratio of the cost to
finish the outstanding work to the
budget available
Planned
Value
Earned Value
Actual Cost
Budget at
Completion
Cost Variance
Schedule
Variance
Variance at
Completion
Cost
Performance
Index
Schedule
Performance
Index
Estimate At
Completion
Estimate to
Complete
To Complete
Performance
Index
PV
EV
AC
BAC
CV
SV
VAC
CPI
SPI
EAC
ETC
TCPI
The value of the work planned to be
completed to a point in time usually
the data date or project completion
The planned value of all the work
completed (earned) to a point in
time usually the data date without
reference to actual costs
The actual cost of all the work
completed to a point in time usually
the data date
The value of total planned work the
project cost baseline
The difference between the value of
work completed to a point in time
usually the data date and the actual
costs to the same point in time
The difference between the work
completed to a point in time usually
the data date and the work planned
to be completed to the same point
in time
The estimated difference in cost at
the completion of the project
A CPI of 10 means the project is
exactly on budget that the work
actually done so far is exactly the
same as the cost so far Other values
show the percentage of how much
costs are over or under the budgeted
amount for work accomplished
An SPI of 10 means that the project
is exactly on schedule that the work
actually done so far is exactly the
same as the work planned to be
done so far Other values show the
percentage of how much costs are
over or under the budgeted amount
for work planned
If the CPI is expected to be the same
for the remainder of the project EAC
can be calculated using
If future work will be accomplished
at the planned rate use
If the initial plan is no longer valid
use
If both the CPI and SPI influence the
remaining work use
Assuming work is proceeding on
plan the cost of completing the
remaining authorized work can be
calculated using
Reestimate the remaining work from
the bottom up
The efficiency that must be
maintained in order to complete on
plan
The efficiency that must be
maintained in order to complete the
current EAC
EV sum of the planned
value of completed work
CV EV – AC
SV EV – PV
VAC BAC – EAC
CPI EVAC
SPI EVPV
EAC BACCPI
EAC AC + BAC – EV
EAC AC + Bottomup ETC
EAC AC + [(BAC – EV)
(CPI x SPI)]
ETC EAC – AC
ETC Reestimate
TCPI (BAC – EV)(BAC – AC)
TCPI (BAC – EV)(EAC – AC)
Positive Under planned cost
Neutral On planned cost
Negative Over planned cost
Positive Ahead of Schedule
Neutral On schedule
Negative Behind Schedule
Positive Under planned cost
Neutral On planned cost
Negative Over planned cost
Greater than 10 Under planned
cost
Exactly 10 On planned cost
Less than 10 Over planned cost
Greater than 10 Ahead of
schedule
Exactly 10 On schedule
Less than 10 Behind schedule
Greater than 10 Harder to
complete
Exactly 10 Same to complete
Less than 10 Easier to complete
Greater than 10 Harder to
complete
Exactly 10 Same to complete
Less than 10 Easier to complete 225©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
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7425 Project Management Software
Project management software is often used to monitor the three EVM dimensions (PV EV and AC) to display
graphical trends and to forecast a range of possible final project results
7426 Reserve Analysis
During cost control reserve analysis is used to monitor the status of contingency and management reserves
for the project to determine if these reserves are still needed or if additional reserves need to be requested
As work on the project progresses these reserves may be used as planned to cover the cost of risk mitigation
events or other contingencies Or if the probable risk events do not occur the unused contingency reserves
may be removed from the project budget to free up resources for other projects or operations Additional risk
analysis during the project may reveal a need to request that additional reserves be added to the project budget
Management and contingency reserves are addressed in more detail in Section 7226
743 Control Costs Outputs
7431 Work Performance Information
The calculated CV SV CPI SPI TCPI and VAC values for WBS components in particular the work packages and
control accounts are documented and communicated to stakeholders
7432 Cost Forecasts
Either a calculated EAC value or a bottomup EAC value is documented and communicated to stakeholders
7433 Change Requests
Analysis of project performance may result in a change request to the cost baseline or other components of the
project management plan Change requests may include preventive or corrective actions and are processed for
review and disposition through the Perform Integrated Change Control process (Section 45)
7434 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to226 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
7 PROJECT COST MANAGEMENT
• Cost baseline Changes to the cost baseline are incorporated in response to approved changes in scope
activity resources or cost estimates In some cases cost variances can be so severe that a revised cost
baseline is needed to provide a realistic basis for performance measurement
• Cost management plan Changes to the cost management plan such as changes to control thresholds
or specified levels of accuracy required in managing the project’s cost are incorporated in response to
feedback from relevant stakeholders
7435 Project Documents Updates
Project documents that may be updated include but are not limited to
• Cost estimates and
• Basis of estimates
7436 Organizational Process Assets Updates
Organizational process assets that may be updated include but are not limited to
• Causes of variances
• Corrective action chosen and the reasons
• Financial databases and
• Other types of lessons learned from project cost control227©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8
PROJECT QUALITY MANAGEMENT
Project Quality Management includes the processes and activities of the performing organization that
determine quality policies objectives and responsibilities so that the project will satisfy the needs for which it was
undertaken Project Quality Management uses policies and procedures to implement within the project’s context
the organization’s quality management system and as appropriate it supports continuous process improvement
activities as undertaken on behalf of the performing organization Project Quality Management works to ensure that
the project requirements including product requirements are met and validated
Figure 81 provides an overview of the Project Quality Management processes which include
81 Plan Quality Management—The process of identifying quality requirements andor standards for the
project and its deliverables and documenting how the project will demonstrate compliance with quality
requirements
82 Perform Quality Assurance—The process of auditing the quality requirements and the results from
quality control measurements to ensure that appropriate quality standards and operational definitions
are used
83 Control Quality—The process of monitoring and recording results of executing the quality activities
to assess performance and recommend necessary changes
These processes interact with each other and with processes in other Knowledge Areas as described in
detail in Section 3 and Annex A1
Project Quality Management addresses the management of the project and the deliverables of the project
It applies to all projects regardless of the nature of their deliverables Quality measures and techniques are specific
to the type of deliverables being produced by the project For example the project quality management of software
deliverables may use different approaches and measures from those used when building a nuclear power plant In
either case failure to meet the quality requirements can have serious negative consequences for any or all of the
project’s stakeholders For example
88228 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
• Meeting customer requirements by overworking the project team may result in decreased profits and
increased project risks employee attrition errors or rework
• Meeting project schedule objectives by rushing planned quality inspections may result in undetected
errors decreased profits and increased postimplementation risks
Quality and grade are not the same concepts Quality as a delivered performance or result is the degree to which
a set of inherent characteristics fulfill requirements (ISO 9000) [10] Grade as a design intent is a category assigned
to deliverables having the same functional use but different technical characteristics The project manager and the
project management team are responsible for managing the tradeoffs associated with delivering the required levels
of both quality and grade While a quality level that fails to meet quality requirements is always a problem a low
grade of quality may not be a problem For example
• It may not be a problem if a suitable lowgrade software product (one with a limited number of features)
is of high quality (no obvious defects readable manual) In this example the product would be appropriate
for its general purpose of use
• It may be a problem if a highgrade software product (one with numerous features) is of low quality
(many defects poorly organized user documentation) In essence its highgrade feature set would prove
ineffective andor inefficient due to its low quality
The project management team should determine the appropriate levels of accuracy and precision for use in the
quality management plan Precision is a measure of exactness For example the magnitude for each increment
on the measurement’s number line is the interval that determines the measurement’s precision—the greater the
number of increments the greater the precision Accuracy is an assessment of correctness For example if the
measured value of an item is very close to the true value of the characteristic being measured the measurement
is more accurate An illustration of this concept is the comparison of archery targets Arrows clustered tightly
in one area of the target even if they are not clustered in the bull’seye are considered to have high precision
Targets where the arrows are more spread out but equidistant from the bull’seye are considered to have the same
degree of accuracy Targets where the arrows are both tightly grouped and within the bull’seye are considered to
be both accurate and precise Precise measurements are not necessarily accurate measurements and accurate
measurements are not necessarily precise measurements
The basic approach to project quality management as described in this section is intended to be compatible
with International Organization for Standardization (ISO) quality standards Every project should have a quality
management plan Project teams should follow the quality management plan and should have data to demonstrate
compliance with the plan229©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8
In the context of achieving ISO compatibility modern quality management approaches seek to minimize variation
and to deliver results that meet defined requirements These approaches recognize the importance of
• Customer satisfaction Understanding evaluating defining and managing requirements so that
customer expectations are met This requires a combination of conformance to requirements (to ensure
the project produces what it was created to produce) and fitness for use (the product or service needs to
satisfy the real needs)
• Prevention over inspection Quality should be planned designed and built into—not inspected into the
project’s management or the project’s deliverables The cost of preventing mistakes is generally much
less than the cost of correcting mistakes when they are found by inspection or during usage
• Continuous improvement The PDCA (plandocheckact) cycle is the basis for quality improvement as
defined by Shewhart and modified by Deming In addition quality improvement initiatives such as Total
Quality Management (TQM) Six Sigma and Lean Six Sigma could improve the quality of the project’s
management as well as the quality of the project’s product Commonly used process improvement models
include Malcolm Baldrige Organizational Project Management Maturity Model (OPM3®) and Capability
Maturity Model Integrated (CMMI®)
• Management Responsibility Success requires the participation of all members of the project team
Nevertheless management retains within its responsibility for quality a related responsibility to provide
suitable resources at adequate capacities
• Cost of quality (COQ) Cost of quality refers to the total cost of the conformance work and the
nonconformance work that should be done as a compensatory effort because on the first attempt to
perform that work the potential exists that some portion of the required work effort may be done or has
been done incorrectly The costs for quality work may be incurred throughout the deliverable’s life cycle
For example decisions made by the project team can impact the operational costs associated with using
a completed deliverable Postproject quality costs may be incurred because of product returns warranty
claims and recall campaigns Therefore because of the temporary nature of projects and the potential
benefits that may be derived from reducing the postproject cost of quality sponsoring organizations
may choose to invest in product quality improvement These investments generally are made in the areas
of conformance work that act to prevent defects or act to mitigate the costs of defects by inspecting
out nonconforming units Refer to Figure 82 and Section 8122 Moreover the issues related to post
project COQ should be the concern of program management and portfolio management such that project
program and portfolio management offices should apply appropriate reviews templates and funding
allocations for this purpose230 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
1 Inputs
1 Project management plan
2 Stakeholder register
3 Risk register
4 Requirements documentation
5 Enterprise environmental
factors
6 Organizational process assets
2 Tools & Techniques
1 Costbenefit analysis
2 Cost of quality
3 Seven basic quality tools
4 Benchmarking
5 Design of experiments
6 Statistical sampling
7 Additional quality planning
tools
8 Meetings
3 Outputs
1 Quality management plan
2 Process improvement plan
3 Quality metrics
4 Quality checklists
5 Project documents updates
1 Inputs
1 Quality management plan
2 Process improvement plan
3 Quality metrics
4 Quality control measurements
5 Project documents
2 Tools & Techniques
1 Quality management and
control tools
2 Quality audits
3 Process analysis
3 Outputs
1 Change requests
2 Project management plan
updates
3 Project documents updates
4 Organizational process assets
updates
1 Inputs
1 Project management plan
2 Quality metrics
3 Quality checklists
4 Work performance data
5 Approved change requests
6 Deliverables
7 Project documents
8 Organizational process assets
2 Tools & Techniques
1 Seven basic quality tools
2 Statistical sampling
3 Inspection
4 Approved change requests
review
3 Outputs
1 Quality control measurements
2 Validated changes
3 Validated deliverables
4 Work performance information
5 Change requests
6 Project management plan
updates
7 Project documents updates
8 Organizational process assets
updates
Project Quality
Management Overview
82 Perform Quality
Assurance
81 Plan Quality
Management 83 Control Quality
Figure 81 Project Quality Management Overview231©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8
Monitoring &
Controlling ClosingExecutingPlanningInitiating
Quality
Assurance
Cost of Quality
Control Quality
IPECC
PDCA
Rework
Failure
Validate
Conformance
Preventable
Not Preventable
Initiate Plan
Essential FirstTime Work
Conformance Work
Conformance Work
NonConformance Work
Prevention
Inspection
FixScrapInspection
Execute
Control
Plan Do
Check
Act
Close
Figure 82 Fundamental Relationships of Quality Assurance and Control Quality to the IPECC PDCA Cost
of Quality Models and Project Management Process Groups
81 Plan Quality Management
Plan Quality Management is the process of identifying quality requirements andor standards for the project and
its deliverables and documenting how the project will demonstrate compliance with relevant quality requirements
The key benefit of this process is that it provides guidance and direction on how quality will be managed and
validated throughout the project The inputs tools and techniques and outputs of this process are depicted in
Figure 83 Figure 84 depicts the data flow diagram of the process232 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
Inputs Tools & Techniques Outputs
1 Project management plan
2 Stakeholder register
3 Risk register
4 Requirements
documentation
5 Enterprise environmental
factors
6 Organizational process
assets
1 Costbenefit analysis
2 Cost of quality
3 Seven basic quality tools
4 Benchmarking
5 Design of experiments
6 Statistical sampling
7 Additional quality
planning tools
8 Meetings
1 Quality management plan
2 Process improvement
plan
3 Quality metrics
4 Quality checklists
5 Project documents
updates
Figure 83 Plan Quality Management Inputs Tools & Techniques and Outputs
Project Quality Management
81
Plan
Quality
Management
82
Perform Quality
Assurance
83
Control
Quality
• Project documents
updates
• Quality management
plan
Project
Documents
• Risk register
• Requirements
documentation
• Stakeholder
register
• Project
management
plan
• Enterprise
environmental
factors
• Organizational
process assets
• Process
improvement
plan
• Quality
management
plan
• Quality
metrics
• Quality
checklists
112
Identify
Risks
52
Collect
Requirements
42
Develop Project
Management
Plan
131
Identify
Stakeholders
Enterprise
Organization
112
Identify
Risks
Figure 84 Plan Quality Management Data Flow Diagram233©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8
Quality planning should be performed in parallel with the other planning processes For example proposed
changes in the deliverables to meet identified quality standards may require cost or schedule adjustments and a
detailed risk analysis of the impact to plans
The quality planning techniques discussed here are those used most frequently on projects There are many
others that may be useful on certain projects or in some application areas
811 Plan Quality Management Inputs
8111 Project Management Plan
Described in Section 4231 The project management plan is used to develop the quality management plan
The information used for the development of the quality management plan includes but is not limited to
• Scope baseline The scope baseline (Section 5431) includes
○○ Project scope statement The project scope statement contains the project description major
project deliverables and acceptance criteria The product scope often contains details of
technical issues and other concerns that can affect quality planning and that should have been
identified as a result of the planning processes in Project Scope Management The definition of
acceptance criteria may significantly increase or decrease quality costs and therefore project
costs Satisfying all acceptance criteria that the needs of the sponsor andor customer have
been met
○○ Work breakdown structure (WBS) The WBS identifies the deliverables and the work packages
used to measure project performance
○○ WBS dictionary The WBS dictionary provides detailed information for WBS elements
• Schedule baseline The schedule baseline documents the accepted schedule performance measures
including start and finish dates (Section 6631)
• Cost baseline The cost baseline documents the accepted time interval being used to measure cost
performance (Section 7331)
• Other management plans These plans contribute to the overall project quality and may highlight
actionable areas of concern with regard to the project’s quality234 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8112 Stakeholder Register
Described in Section 13131 The stakeholder register aids in identifying those stakeholders possessing a
particular interest in or having an impact on quality
8113 Risk Register
Described in Section 11231 The risk register contains information on threats and opportunities that may
impact quality requirements
8114 Requirements Documentation
Described in Section 5231 Requirements documentation captures the requirements that the project shall
meet pertaining to stakeholder expectations The components of the requirements documentation include but are
not limited to project (including product) and quality requirements The requirements are used by the project team
to help plan how quality control will be implemented on the project
8115 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that influence the Plan Quality Management
process include but are not limited to
• Governmental agency regulations
• Rules standards and guidelines specific to the application area
• Working or operating conditions of the project or its deliverables that may affect project quality and
• Cultural perceptions that may influence expectations about quality
8116 Organizational Process Assets
Described in Section 214 The organizational process assets that influence the Plan Quality Management
process include but are not limited to
• Organizational quality policies procedures and guidelines The performing organization’s quality policy
as endorsed by senior management sets the organization’s intended direction on implementing its quality
management approach
• Historical databases and
• Lessons learned from previous phases or projects235©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8
812 Plan Quality Management Tools and Techniques
8121 CostBenefit Analysis
The primary benefits of meeting quality requirements include less rework higher productivity lower costs
increased stakeholder satisfaction and increased profitability A costbenefit analysis for each quality activity
compares the cost of the quality step to the expected benefit
8122 Cost of Quality (COQ)
Cost of quality includes all costs incurred over the life of the product by investment in preventing nonconformance
to requirements appraising the product or service for conformance to requirements and failing to meet requirements
(rework) Failure costs are often categorized into internal (found by the project) and external (found by the customer)
Failure costs are also called cost of poor quality Figure 85 provides some examples to consider in each area
Cost of Conformance Cost of Nonconformance
Prevention Costs
(Build a quality product)
• Training
• Document processes
• Equipment
• Time to do it right
Appraisal Costs
(Assess the quality)
• Testing
• Destructive testing loss
• Inspections
Money spent during the project
to avoid failures
Internal Failure Costs
(Failures found by the project)
• Rework
• Scrap
External Failure Costs
(Failures found by the customer)
• Liabilities
• Warranty work
• Lost business
Money spent during and after
the project because of failures
Figure 85 Cost of Quality236 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8123 Seven Basic Quality Tools
The seven basic quality tools also known in the industry as 7QC Tools are used within the context of the PDCA
Cycle to solve qualityrelated problems As conceptually illustrated in Figure 87 the seven basic quality tools are
• Causeandeffect diagrams which are also known as fishbone diagrams or as Ishikawa diagrams The
problem statement placed at the head of the fishbone is used as a starting point to trace the problem’s
source back to its actionable root cause The problem statement typically describes the problem as a gap
to be closed or as an objective to be achieved The causes are found by looking at the problem statement
and asking why until the actionable root cause has been identified or until the reasonable possibilities
on each fishbone have been exhausted Fishbone diagrams often prove useful in linking the undesirable
effects seen as special variation to the assignable cause upon which project teams should implement
corrective actions to eliminate the special variation detected in a control chart
• Flowcharts which are also referred to as process maps because they display the sequence of steps and
the branching possibilities that exist for a process that transforms one or more inputs into one or more
outputs Flowcharts show the activities decision points branching loops parallel paths and the overall
order of processing by mapping the operational details of procedures that exist within a horizontal value
chain of a SIPOC model (Figure 86) Flowcharts may prove useful in understanding and estimating
the cost of quality in a process This is obtained by using the workflow branching logic and associated
relative frequencies to estimate expected monetary value for the conformance and nonconformance
work required to deliver the expected conforming output237©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8Requirements and
Feedback Loop
Requirements and
Feedback Loop
OUTPUTINPUT
PROCESS CUSTOMERSUPPLIER
Suppliers Inputs Process Outputs Customers
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Requirements List Measurements List Requirements List Measurements List
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
NOTE The components of this diagram are flexible and can take any direction depending upon the circumstance
Figure 86 The SIPOC Model
• Checksheets which are also known as tally sheets and may be used as a checklist when gathering data
Checksheets are used to organize facts in a manner that will facilitate the effective collection of useful
data about a potential quality problem They are especially useful for gathering attributes data while
performing inspections to identify defects For example data about the frequencies or consequences of
defects collected in checksheets are often displayed using Pareto diagrams
• Pareto diagrams exist as a special form of vertical bar chart and are used to identify the vital few sources
that are responsible for causing most of a problem’s effects The categories shown on the horizontal
axis exist as a valid probability distribution that accounts for 100 of the possible observations The
relative frequencies of each specified cause listed on the horizontal axis decrease in magnitude until the
default source named other accounts for any nonspecified causes Typically the Pareto diagram will be
organized into categories that measure either frequencies or consequences238 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
• Histograms are a special form of bar chart and are used to describe the central tendency dispersion and
shape of a statistical distribution Unlike the control chart the histogram does not consider the influence
of time on the variation that exists within a distribution
• Control charts are used to determine whether or not a process is stable or has predictable performance
Upper and lower specification limits are based on requirements of the agreement They reflect
the maximum and minimum values allowed There may be penalties associated with exceeding the
specification limits Upper and lower control limits are different from specification limits The control
limits are determined using standard statistical calculations and principles to ultimately establish the
natural capability for a stable process The project manager and appropriate stakeholders may use the
statistically calculated control limits to identify the points at which corrective action will be taken to
prevent unnatural performance The corrective action typically seeks to maintain the natural stability of a
stable and capable process For repetitive processes the control limits are generally set at ±3 s around
a process mean that has been set at 0 s A process is considered out of control when (1) a data point
exceeds a control limit (2) seven consecutive plot points are above the mean or (3) seven consecutive
plot points are below the mean Control charts can be used to monitor various types of output variables
Although used most frequently to track repetitive activities required for producing manufactured lots
control charts may also be used to monitor cost and schedule variances volume and frequency of scope
changes or other management results to help determine if the project management processes are in
control
• Scatter diagrams plot ordered pairs (X Y) and are sometimes called correlation charts because they seek
to explain a change in the dependent variable Y in relationship to a change observed in the corresponding
independent variable X The direction of correlation may be proportional (positive correlation) inverse
(negative correlation) or a pattern of correlation may not exist (zero correlation) If correlation can be
established a regression line can be calculated and used to estimate how a change to the independent
variable will influence the value of the dependent variable239©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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8
Cause & Effect Diagram Flowcharts Checksheets
Pareto Diagrams Histograms Control Charts
Scatter Diagrams
Figure 87 Storyboard Illustrating a Conceptual Example of Each of the Seven Basic Quality Tools
8124 Benchmarking
Benchmarking involves comparing actual or planned project practices to those of comparable projects to identify
best practices generate ideas for improvement and provide a basis for measuring performance
Benchmarked projects may exist within the performing organization or outside of it or can be within the same
application area Benchmarking allows for analogies from projects in a different application area to be made
8125 Design of Experiments
Design of experiments (DOE) is a statistical method for identifying which factors may influence specific variables
of a product or process under development or in production DOE may be used during the Plan Quality Management
process to determine the number and type of tests and their impact on cost of quality240 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
DOE also plays a role in optimizing products or processes DOE is used to reduce the sensitivity of product
performance to sources of variations caused by environmental or manufacturing differences One important aspect
of this technique is that it provides a statistical framework for systematically changing all of the important factors
rather than changing the factors one at a time Analysis of the experimental data should provide the optimal
conditions for the product or process highlight the factors that influence the results and reveal the presence of
interactions and synergy among the factors For example automotive designers use this technique to determine
which combination of suspension and tires will produce the most desirable ride characteristics at a reasonable cost
8126 Statistical Sampling
Statistical sampling involves choosing part of a population of interest for inspection (for example selecting ten
engineering drawings at random from a list of seventyfive) Sample frequency and sizes should be determined during
the Plan Quality Management process so the cost of quality will include the number of tests expected scrap etc
There is a substantial body of knowledge on statistical sampling In some application areas it may be necessary
for the project management team to be familiar with a variety of sampling techniques to assure the sample selected
represents the population of interest
8127 Additional Quality Planning Tools
Other quality planning tools are used to define the quality requirements and to plan effective quality management
activities These include but are not limited to
• Brainstorming This technique is used to generate ideas (defined in Section 11222)
• Force field analysis These are diagrams of the forces for and against change
• Nominal group technique This technique is used to allow ideas to be brainstormed in small groups and
then reviewed by a larger group
• Quality management and control tools These tools are used to link and sequence the activities
identified (defined in Section 8221)241©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
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8128 Meetings
Project teams may hold planning meetings to develop the quality management plan Attendees at these
meetings may include the project manager the project sponsor selected project team members selected
stakeholders anyone with responsibility for Project Quality Management activities namely Plan Quality
Management Perform Quality Assurance or Control Quality and others as needed
813 Plan Quality Management Outputs
8131 Quality Management Plan
The quality management plan is a component of the project management plan that describes how the
organization’s quality policies will be implemented It describes how the project management team plans to meet
the quality requirements set for the project
The quality management plan may be formal or informal detailed or broadly framed The style and detail of the
quality management plan are determined by the requirements of the project The quality management plan should
be reviewed early in the project to ensure that decisions are based on accurate information The benefits of this
review can include a sharper focus on the project’s value proposition and reductions in costs and in the frequency
of schedule overruns that were caused by rework
8132 Process Improvement Plan
The process improvement plan is a subsidiary or component of the project management plan (Section 4231)
The process improvement plan details the steps for analyzing project management and product development
processes to identify activities that enhance their value Areas to consider include
• Process boundaries Describe the purpose of the process the start and end of the process its inputs
and outputs the process owner and the stakeholders of the process
• Process configuration Provides a graphic depiction of processes with interfaces identified used to
facilitate analysis
• Process metrics Along with control limits allows analysis of process efficiency
• Targets for improved performance Guide the process improvement activities242 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8133 Quality Metrics
A quality metric specifically describes a project or product attribute and how the control quality process will
measure it A measurement is an actual value The tolerance defines the allowable variations to the metric For
example if the quality objective is to stay within the approved budget by ± 10 the specific quality metric is
used to measure the cost of every deliverable and determine the percent variance from the approved budget for
that deliverable Quality metrics are used in the perform quality assurance and control quality processes Some
examples of quality metrics include ontime performance cost control defect frequency failure rate availability
reliability and test coverage
8134 Quality Checklists
A checklist is a structured tool usually componentspecific used to verify that a set of required steps has
been performed Based on the project’s requirements and practices checklists may be simple or complex Many
organizations have standardized checklists available to ensure consistency in frequently performed tasks In some
application areas checklists are also available from professional associations or commercial service providers
Quality checklists should incorporate the acceptance criteria included in the scope baseline
8135 Project Documents Updates
Project documents that may be updated include but are not limited to
• Stakeholder register (Section 13131) and
• Responsibility assignment matrix (Section 9121) and
• WBS and WBS Dictionary
82 Perform Quality Assurance
Perform Quality Assurance is the process of auditing the quality requirements and the results from quality
control measurements to ensure that appropriate quality standards and operational definitions are used The key
benefit of this process is that it facilitates the improvement of quality processes The inputs tools and techniques
and outputs of this process are depicted in Figure 88 Figure 89 depicts the data flow diagram of the process243©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8
Inputs Tools & Techniques Outputs
1 Quality management plan
2 Process improvement
plan
3 Quality metrics
4 Quality control
measurements
5 Project documents
1 Quality management and
control tools
2 Quality audits
3 Process analysis
1 Change requests
2 Project management plan
updates
3 Project documents
updates
4 Organizational process
assets updates
Figure 88 Perform Quality Assurance Inputs Tools & Techniques and Outputs
Project Quality Management
82
Perform Quality
Assurance
81
Plan Quality
Management
83
Control
Quality
• Project
management
plan updates
• Quality control
measurements
• Quality
management plan
• Process
improvement plan
• Quality metrics
• Change requests
• Project documents
updates
• Project documents
• Organizational process assets updates
Project
Documents
Project
Documents
45
Perform
Integrated
Change Control
42
Develop Project
Management
Plan
Enterprise
Organization
Figure 89 Perform Quality Assurance Data Flow Diagram
The quality assurance process implements a set of planned and systematic acts and processes defined
within the project’s quality management plan Quality assurance seeks to build confidence that a future output
or an unfinished output also known as work in progress will be completed in a manner that meets the specified
requirements and expectations Quality assurance contributes to the state of being certain about quality by
preventing defects through the planning processes or by inspecting out defects during the workinprogress
stage of implementation Perform Quality Assurance is an execution process that uses data created during Plan
Quality Management (Section 81) and Control Quality (Section 83) processes244 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
In project management the prevention and inspection aspects of quality assurance should have a demonstrable
influence on the project Quality assurance work will fall under the conformance work category in the cost of quality
framework
A quality assurance department or similar organization often oversees quality assurance activities Quality
assurance support regardless of the unit’s title may be provided to the project team the management of the
performing organization the customer or sponsor as well as other stakeholders not actively involved in the work
of the project
Perform Quality Assurance also provides an umbrella for continuous process improvement which is an iterative
means for improving the quality of all processes Continuous process improvement reduces waste and eliminates
activities that do not add value This allows processes to operate at increased levels of efficiency and effectiveness
821 Perform Quality Assurance Inputs
8211 Quality Management Plan
Described in Section 8131 The quality management plan describes the quality assurance and continuous
process improvement approaches for the project
8212 Process Improvement Plan
Described in Section 8132 The project’s quality assurance activities should be supportive of and consistent
with the performing organization’s process improvement plans
8213 Quality Metrics
Described in Section 8133 The quality metrics provide the attributes that should be measured and the
allowable variations
8214 Quality Control Measurements
Described in Section 8331 Quality control measurements are the results of control quality activities They are
used to analyze and evaluate the quality of the processes of the project against the standards of the performing
organization or the requirements specified Quality control measurements can also compare the processes used to
create the measurements and validate actual measurements to determine their level of correctness245©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8
8215 Project Documents
Project documents may influence quality assurance work and should be monitored within the context of a
system for configuration management
822 Perform Quality Assurance Tools and Techniques
8221 Quality Management and Control Tools
The Perform Quality Assurance process uses the tools and techniques of the Plan Quality Management and
Control Quality processes In addition other tools that are available include (see also Figure 810)
• Affinity diagrams The affinity diagram is similar to mindmapping techniques in that they are used
to generate ideas that can be linked to form organized patterns of thought about a problem In project
management the creation of the WBS may be enhanced by using the affinity diagram to give structure
to the decomposition of scope
• Process decision program charts (PDPC) Used to understand a goal in relation to the steps for getting
to the goal The PDPC is useful as a method for contingency planning because it aids teams in anticipating
intermediate steps that could derail achievement of the goal
• Interrelationship digraphs An adaptation of relationship diagrams The interrelationship digraphs
provide a process for creative problem solving in moderately complex scenarios that possess intertwined
logical relationships for up to 50 relevant items The interrelationship digraph may be developed from
data generated in other tools such as the affinity diagram the tree diagram or the fishbone diagram
• Tree diagrams Also known as systematic diagrams and may be used to represent decomposition
hierarchies such as the WBS RBS (risk breakdown structure) and OBS (organizational breakdown
structure) In project management tree diagrams are useful in visualizing the parenttochild relationships
in any decomposition hierarchy that uses a systematic set of rules that define a nesting relationship Tree
diagrams can be depicted horizontally (such as a risk breakdown structure) or vertically (such as a team
hierarchy or OBS) Because tree diagrams permit the creation of nested branches that terminate into a
single decision point they are useful as decision trees for establishing an expected value for a limited
number of dependent relationships that have been diagramed systematically246 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
• Prioritization matrices Identify the key issues and the suitable alternatives to be prioritized as a set of
decisions for implementation Criteria are prioritized and weighted before being applied to all available
alternatives to obtain a mathematical score that ranks the options
• Activity network diagrams Previously known as arrow diagrams They include both the AOA (Activity
on Arrow) and most commonly used AON (Activity on Node) formats of a network diagram Activity
network diagrams are used with project scheduling methodologies such as program evaluation and
review technique (PERT) critical path method (CPM) and precedence diagramming method (PDM)
• Matrix diagrams A quality management and control tool used to perform data analysis within the
organizational structure created in the matrix The matrix diagram seeks to show the strength of
relationships between factors causes and objectives that exist between the rows and columns that form
the matrix
Affinity Diagram PDPC Interrelationship Digraph
Tree Diagrams Prioritization Matrices Network Diagrams
Matrix Diagrams
Figure 810 Storyboard Illustrating the Seven Quality Management and Control Tools247©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8
8222 Quality Audits
A quality audit is a structured independent process to determine if project activities comply with organizational
and project policies processes and procedures The objectives of a quality audit may include
• Identify all good and best practices being implemented
• Identify all nonconformity gaps and shortcomings
• Share good practices introduced or implemented in similar projects in the organization andor industry
• Proactively offer assistance in a positive manner to improve implementation of processes to help the
team raise productivity and
• Highlight contributions of each audit in the lessons learned repository of the organization
The subsequent effort to correct any deficiencies should result in a reduced cost of quality and an increase in
sponsor or customer acceptance of the project’s product Quality audits may be scheduled or random and may be
conducted by internal or external auditors
Quality audits can confirm the implementation of approved change requests including updates corrective
actions defect repairs and preventive actions
8223 Process Analysis
Process analysis follows the steps outlined in the process improvement plan to identify needed improvements
This analysis also examines problems experienced constraints experienced and nonvalueadded activities
identified during process operation Process analysis includes root cause analysis—a specific technique used to
identify a problem discover the underlying causes that lead to it and develop preventive actions
823 Perform Quality Assurance Outputs
8231 Change Requests
Change requests are created and used as input into the Perform Integrated Change Control process (Section 45)
to allow full consideration of the recommended improvements Change requests are used to take corrective action
preventive action or to perform defect repair248 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8232 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to
• Quality management plan (Section 8131)
• Scope management plan (Section 5131)
• Schedule management plan (Section 6131) and
• Cost management plan (7131)
8233 Project Documents Updates
Project documents that may be updated include but are not limited to
• Quality audit reports
• Training plans and
• Process documentation
8234 Organizational Process Assets Updates
Elements of the organizational process assets that may be updated include but are not limited to the
organization’s quality standards and the quality management system
83 Control Quality
Control Quality is the process of monitoring and recording results of executing the quality activities to assess
performance and recommend necessary changes The key benefits of this process include (1) identifying the
causes of poor process or product quality and recommending andor taking action to eliminate them and (2)
validating that project deliverables and work meet the requirements specified by key stakeholders necessary for
final acceptance The inputs tools and techniques and outputs of this process are depicted in Figure 811 Figure
812 depicts the data flow diagram of the process249©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8
Inputs Tools & Techniques Outputs
1 Project management plan
2 Quality metrics
3 Quality checklists
4 Work performance data
5 Approved change
requests
6 Deliverables
7 Project documents
8 Organizational process
assets
1 Seven basic quality tools
2 Statistical sampling
3 Inspection
4 Approved change
requests review
1 Quality control
measurements
2 Validated changes
3 Verified deliverables
4 Work performance
information
5 Change requests
6 Project management plan
updates
7 Project documents
updates
8 Organizational process
assets updates
Figure 811 Control Quality Inputs Tools & Techniques and Outputs
Project Quality Management
83
Control
Quality
82
Perform Quality
Assurance
81
Plan Quality
Management
• Project
documents
• Approved change
requests
• Deliverables
• Work performance
data
• Project
management
plan
• Project
management
plan updates
• Quality metrics
• Quality checklists
• Organizational
process assets
• Organizational
process assets
updates
• Quality
control
measurements
42
Develop Project
Management
Plan
45
Perform
Integrated
Change Control
43
Direct and
Manage Project
Work
42
Develop Project
Management
Plan
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
55
Validate
Scope
Enterprise
Organization
Project
Documents
Enterprise
Organization
Project
Documents
• Project
documents
updates
• Verified
deliverables
• Change
requests
• Validated
changes
• Work
performance
Information
Figure 812 Control Quality Data Flow Diagram250 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
The Control Quality process uses a set of operational techniques and tasks to verify that the delivered output
will meet the requirements Quality assurance should be used during the project’s planning and executing phases
to provide confidence that the stakeholder’s requirements will be met and quality control should be used during
the project executing and closing phases to formally demonstrate with reliable data that the sponsor andor
customer’s acceptance criteria have been met
The project management team may have a working knowledge of statistical control processes to evaluate data
contained in the control quality outputs Among other subjects the team may find it useful to know the differences
between the following pairs of terms
• Prevention (keeping errors out of the process) and inspection (keeping errors out of the hands of the
customer)
• Attribute sampling (the result either conforms or does not conform) and variables sampling (the result is
rated on a continuous scale that measures the degree of conformity)
• Tolerances (specified range of acceptable results) and control limits (that identify the boundaries of
common variation in a statistically stable process or process performance)
831 Control Quality Inputs
8311 Project Management Plan
Described in Section 8131 The project management plan contains the quality management plan which is
used to control quality The quality management plan describes how quality control will be performed within the
project
8312 Quality Metrics
Described in Section 4231 A quality metric describes a project or product attribute and how it will be measured
Some examples of quality metrics include function points mean time between failure (MTBF) and mean time to
repair (MTTR)
8313 Quality Checklists
Described in Section 8134 Quality checklists are structured lists that help to verify that the work of the project
and its deliverables fulfill a set of requirements251©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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8
8314 Work Performance Data
Described in Section 4332 Work performance data can include
• Planned vs actual technical performance
• Planned vs actual schedule performance and
• Planned vs actual cost performance
8315 Approved Change Requests
As part of the Perform Integrated Change Control process a change log update indicates that some changes are
approved and some are not Approved change requests may include modifications such as defect repairs revised
work methods and revised schedule The timely implementation of approved changes needs to be verified
8316 Deliverables
Described in Section 4331 A deliverable is any unique and verifiable product result or capability that results
in a validated deliverable required by the project
8317 Project Documents
Project documents may include but are not limited to
• Agreements
• Quality audit reports and change logs supported with corrective action plans
• Training plans and assessments of effectiveness and
• Process documentation such as those obtained using either the seven basic quality tools or the quality
management and control tools shown in Figures 87 and 810
8318 Organizational Process Assets
Described in Section 214 The organizational process assets that influence the Control Quality process include
but are not limited to
• The organization’s quality standards and policies
• Standard work guidelines and
• Issue and defect reporting procedures and communication policies252 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
832 Control Quality Tools and Techniques
8321 Seven Basic Quality Tools
Described in Section 8123 The seven basic quality tools are illustrated conceptually in Figure 87
8322 Statistical Sampling
Described in Section 8126 Samples are selected and tested as defined in the quality management plan
8323 Inspection
An inspection is the examination of a work product to determine if it conforms to documented standards The
results of an inspection generally include measurements and may be conducted at any level For example the
results of a single activity can be inspected or the final product of the project can be inspected Inspections may
be called reviews peer reviews audits or walkthroughs In some application areas these terms have narrow and
specific meanings Inspections also are used to validate defect repairs
8324 Approved Change Requests Review
All approved change requests should be reviewed to verify that they were implemented as approved
833 Control Quality Outputs
8331 Quality Control Measurements
Quality control measurements are the documented results of control quality activities They should be captured
in the format that was specified through the Plan Quality Management process (Section 81)
8332 Validated Changes
Any changed or repaired items are inspected and will be either accepted or rejected before notification of the
decision is provided Rejected items may require rework253©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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8
8333 Verified Deliverables
A goal of the Control Quality process is to determine the correctness of deliverables The results of performing
the Control Quality process are verified deliverables Verified deliverables are an input to Validate Scope (5514)
for formalized acceptance
8334 Work Performance Information
Work performance information is the performance data collected from various controlling processes analyzed
in context and integrated based on relationships across areas Examples include information about the project
requirements fulfillment such as causes for rejections rework required or the need for process adjustments
8335 Change Requests
If the recommended corrective or preventive actions or a defect repair requires a change to the project
management plan a change request (Section 4431) should be initiated in accordance with the defined Perform
Integrated Change Control (45) process
8336 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to
• Quality management plan (Section 8131) and
• Process improvement plan (Section 8132)
8337 Project Documents Updates
Project documents that may be updated include but are not limited to
• Quality standards
• Agreements
• Quality audit reports and change logs supported with corrective action plans
• Training plans and assessments of effectiveness and
• Process documentation such as information obtained using the seven basic quality tools or the quality
management and control tools254 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
8 PROJECT QUALITY MANAGEMENT
8338 Organizational Process Assets Updates
Elements of the organizational process assets that may be updated include but are not limited to
• Completed checklists When checklists are used the completed checklists become part of the project
documents and organizational process assets (Section 4115)
• Lessons learned documentation The causes of variances the reasoning behind the corrective action
chosen and other types of lessons learned from control quality are documented so they become part of
the historical database for both the project and the performing organization255©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
9
PROJECT HUMAN RESOURCE MANAGEMENT
Project Human Resource Management includes the processes that organize manage and lead the project
team The project team is comprised of the people with assigned roles and responsibilities for completing the
project Project team members may have varied skill sets may be assigned full or parttime and may be added or
removed from the team as the project progresses Project team members may also be referred to as the project’s
staff Although specific roles and responsibilities for the project team members are assigned the involvement of
all team members in project planning and decision making is beneficial Participation of team members during
planning adds their expertise to the process and strengthens their commitment to the project
Figure 91 provides an overview of the Project Human Resource Management processes which are as follows
91 Plan Human Resource Management—The process of identifying and documenting project roles
responsibilities required skills reporting relationships and creating a staffing management plan
92 Acquire Project Team—The process of confirming human resource availability and obtaining the
team necessary to complete project activities
93 Develop Project Team—The process of improving competencies team member interaction and
overall team environment to enhance project performance
94 Manage Project Team—The process of tracking team member performance providing feedback
resolving issues and managing changes to optimize project performance
99256 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
These processes interact with each other and with processes in other Knowledge Areas as described in detail
in Section 3 and Annex A1
As a result of these interactions additional planning may be required throughout the project For example
• After initial team members create a work breakdown structure additional team members may need to
be added to the team
• As additional team members are added to the team their experience levels or lack thereof could
decrease or increase project risk creating the need for additional risk planning
• When activity durations are estimated budgeted scoped or planned prior to identifying all project team
members and their competency levels the activity durations may change
The project management team is a subset of the project team and is responsible for the project management
and leadership activities such as initiating planning executing monitoring controlling and closing the various
project phases This group can also be referred to as the core executive or leadership team For smaller projects
the project management responsibilities may be shared by the entire team or administered solely by the project
manager The project sponsor works with the project management team typically assisting with matters such as
project funding clarifying scope monitoring progress and influencing stakeholders in both the requesting and
performing organization for the project benefit
Managing and leading the project team includes but is not limited to
• Influencing the project team The project manager needs to be aware of and influence when possible
human resource factors that may impact the project These factors includes team environment
geographical locations of team members communications among stakeholders internal and external
politics cultural issues organizational uniqueness and others factors that may alter project performance
• Professional and ethical behavior The project management team should be aware of subscribe to and
ensure that all team members follow professional and ethical behavior257©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
9
1 Inputs
1 Project management plan
2 Activity resource
requirements
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Organization charts and
position descriptions
2 Networking
3 Organizational theory
4 Expert judgment
5 Meetings
3 Outputs
1 Human resource management
plan
1 Inputs
1 Human resource management
plan
2 Enterprise environmental
factors
3 Organizational process assets
2 Tools & Techniques
1 Preassignment
2 Negotiation
3 Acquisition
4 Virtual teams
5 Multicriteria decision
analysis
3 Outputs
1 Project staff assignments
2 Resource calendars
3 Project management plan
updates
1 Inputs
1 Human resource management
plan
2 Project staff assignments
3 Resource calendars
2 Tools & Techniques
1 Interpersonal skills
2 Training
3 Teambuilding activities
4 Ground rules
5 Colocation
6 Recognition and rewards
7 Personnel assessment tools
3 Outputs
1 Team performance
assessments
2 Enterprise environmental
factors updates
1 Inputs
1 Human resource management
plan
2 Project staff assignments
3 Team performance
assessments
4 Issue log
5 Work performance reports
6 Organizational process assets
2 Tools & Techniques
1 Observation and conversation
2 Project performance
appraisals
3 Conflict management
4 Interpersonal skills
3 Outputs
1 Change requests
2 Project management plan
updates
3 Project documents updates
4 Enterprise environmental
factors updates
5 Organizational process assets
updates
Project Human Resource
Management Overview
92 Acquire Project Team91 Plan Human
Resource Management 93 Develop Project Team
94 Manage Project Team
Figure 91 Project Human Resource Management Overview258 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
91 Plan Human resource Management
Plan Human Resource Management is the process of identifying and documenting project roles responsibilities
required skills reporting relationships and creating a staffing management plan The key benefit of this process
is that it establishes project roles and responsibilities project organization charts and the staffing management
plan including the timetable for staff acquisition and release The inputs tools and techniques and outputs of this
process are depicted in Figure 92 Figure 93 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Activity resource
requirements
3 Enterprise environmental
factors
4 Organizational process
assets
1 Organization charts and
position descriptions
2 Networking
3 Organizational theory
4 Expert judgment
5 Meetings
1 Human resource
management plan
Figure 92 Plan Human resource Management Inputs tools & techniques and outputs
Project Human Resource Management
94
Manage
Project Team
93
Develop
Project Team
92
Acquire
Project Team
• Human resource
management plan
• Organizational
process assets
• Enterprise
environmental
factors 72
Estimate
Costs
112
Identify
Risks
91
Plan Human
Resource
Management
42
Develop Project
Management
Plan
64
Estimate
Activity
Resources
• Project management plan
• Activity resource
requirements
Enterprise
Organization
Figure 93 Plan Human resource Management data Flow diagram259©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
9
Human resource planning is used to determine and identify human resources with the necessary skills required
for project success The human resource management plan describes how the roles and responsibilities reporting
relationships and staffing management will be addressed and structured within a project It also contains the
staffing management plan including timetables for staff acquisition and release identification of training needs
teambuilding strategies plans for recognition and rewards programs compliance considerations safety issues
and the impact of the staffing management plan on the organization
Effective human resource planning should consider and plan for the availability of or competition for scarce
resources Project roles can be designated for teams or team members Those teams or team members can
be from inside or outside the organization performing the project Other projects may be competing for human
resources with the same competencies or skill sets Given these factors project costs schedules risks quality and
other project areas may be significantly affected
911 Plan Human Resource Management Inputs
9111 Project Management Plan
Described in Section 4231 The project management plan is used to develop the human resource management
plan as described in Section 9131 The information used for the development of the human resource management
plan includes but is not limited to
• The project life cycle and the processes that will be applied to each phase
• How work will be executed to accomplish the project objectives
• A change management plan that documents how changes will be monitored and controlled
• A configuration management plan that documents how configuration management will be performed
• How integrity of the project baselines will be maintained and
• Needs and methods of communication among stakeholders260 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
9112 Activity Resource Requirements
Described in Section 6431 Human resource planning uses activity resource requirements to determine the
human resource needs for the project The preliminary requirements regarding the required project team members
and their competencies are progressively elaborated as part of the Plan Human Resource Management process
9113 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Plan Human Resource
Management process include but are not limited to
• Organizational culture and structure
• Existing human resources
• Geographical dispersion of team members
• Personnel administration policies and
• Marketplace conditions
9114 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Plan Human Resource
Management process include but are not limited to
• Organizational standard processes policies and role descriptions
• Templates for organizational charts and position descriptions
• Lessons learned on organizational structures that have worked in previous projects and
• Escalation procedures for handling issues within the team and within the performing organization261©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
9
912 Plan Human Resource Management Tools and Techniques
9121 Organization Charts and Position Descriptions
Various formats exist to document team member roles and responsibilities Most of the formats fall into one of
three types (Figure 94) hierarchical matrix and textoriented Additionally some project assignments are listed
in subsidiary plans such as the risk quality or communications management plans Regardless of the method
utilized the objective is to ensure that each work package has an unambiguous owner and that all team members
have a clear understanding of their roles and responsibilities For example a hierarchical format may be used to
represent highlevel roles while a textbased format may be better suited to document the detailed responsibilities
RAM Role
Responsibilities
Authority
PM
Organization Chart
(hierarchical)
Responsibility Chart
(matrix)
Role Description
(text)
Figure 94 Roles and Responsibility Definition Formats
• Hierarchicaltype charts The traditional organization chart structure can be used to show positions and
relationships in a graphical topdown format Work breakdown structures (WBS) designed to show how
project deliverables are broken down into work packages provide a way of showing highlevel areas of
responsibility While the WBS shows a breakdown of project deliverables the organizational breakdown
structure (OBS) is arranged according to an organization’s existing departments units or teams with the
project activities or work packages listed under each department An operational department such as
information technology or purchasing can see all of its project responsibilities by looking at its portion of
the OBS The resource breakdown structure (RBS) is a hierarchical list of resources related by category
and resource type that is used to facilitate planning and controlling of project work Each descending
(lower) level represents an increasingly detailed description of the resource until small enough to be used
in conjunction with the work breakdown structure (WBS) to allow the work to be planned monitored and
controlled The resource breakdown structure is helpful in tracking project costs and can be aligned with
the organization’s accounting system It can contain resource categories other than human resources262 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
• Matrixbased charts A responsibility assignment matrix (RAM) is a grid that shows the project
resources assigned to each work package It is used to illustrate the connections between work
packages or activities and project team members On larger projects RAMs can be developed
at various levels For example a highlevel RAM can define what a project team group or unit is
responsible for within each component of the WBS while lowerlevel RAMs are used within the group
to designate roles responsibilities and levels of authority for specific activities The matrix format
shows all activities associated with one person and all people associated with one activity This also
ensures that there is only one person accountable for any one task to avoid confusion of responsibility
One example of a RAM is a RACI (responsible accountable consult and inform) chart shown in
Figure 95 The sample chart shows the work to be done in the left column as activities The assigned
resources can be shown as individuals or groups The project manager can select other options such
as lead and resource designations or others as appropriate for the project A RACI chart is a useful
tool to use when the team consists of internal and external resources in order to ensure clear divisions
of roles and expectations
RACI Chart Person
Activity
Create charter
Collect
requirements
Submit change
request
Develop test plan
Ann Ben Carlos Dina Ed
A
I
R
R Responsible A Accountable C Consult I Inform
C
CC
A
A
AI
II
I
I
C
R
R
R
IR
Figure 95 RACI Matrix
• Textoriented formats Team member responsibilities that require detailed descriptions can be
specified in textoriented formats Usually in outline form the documents provide information such as
responsibilities authority competencies and qualifications The documents are known by various names
including position descriptions and roleresponsibilityauthority forms These documents can be used as
templates for future projects especially when the information is updated throughout the current project
by applying lessons learned263©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
9
9122 Networking
Networking is the formal and informal interaction with others in an organization industry or professional
environment It is a constructive way to understand political and interpersonal factors that will impact the
effectiveness of various staffing management options Human resource management benefits from successful
networking by improving knowledge of and access to human resource assets such as strong competencies
specialized experience and external partnership opportunities Examples of human resources networking activities
include proactive correspondence luncheon meetings informal conversations including meetings and events
trade conferences and symposia Networking can be a useful technique at the beginning of a project It can also
be an effective way to enhance project management professional development during the project and after the
project ends
9123 Organizational Theory
Organizational theory provides information regarding the way in which people teams and organizational
units behave Effective use of common themes identified in organizational theory can shorten the amount of time
cost and effort needed to create the Plan Human Resource Management process outputs and improve planning
efficiency It is important to recognize that different organizational structures have different individual response
individual performance and personal relationship characteristics Also applicable organizational theories may
recommend exercising a flexible leadership style that adapts to the changes in a team’s maturity level throughout
the project life cycle
9124 Expert Judgment
When developing the human resource management plan expert judgment is used to
• List the preliminary requirements for the required skills
• Assess the roles required for the project based on standardized role descriptions within the organization
• Determine the preliminary effort level and number of resources needed to meet project objectives
• Determine reporting relationships needed based on the organizational culture
• Provide guidelines on lead time required for staffing based on lessons learned and market conditions
• Identify risks associated with staff acquisition retention and release plans and
• Identify and recommend programs for complying with applicable government and union contracts264 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
9125 Meetings
When planning human resource management of the project the project management team will hold planning
meetings These meetings leverage a combination of other tools and techniques to allow for all project management
team members to reach consensus on the human resource management plan
913 Plan Human Resource Management Outputs
9131 Human Resource Management Plan
The human resource management plan a part of the project management plan provides guidance on how
project human resources should be defined staffed managed and eventually released The human resource
management plan and any subsequent revisions are also inputs into the Develop Project Management Plan process
The human resource management plan includes but is not limited to the following
• Roles and responsibilities The following should be addressed when listing the roles and responsibilities
needed to complete a project
○○ Role The function assumed by or assigned to a person in the project Examples of project roles
are civil engineer business analyst and testing coordinator Role clarity concerning authority
responsibilities and boundaries should also be documented
○○ Authority The right to apply project resources make decisions sign approvals accept
deliverables and influence others to carry out the work of the project Examples of decisions
that need clear authority include the selection of a method for completing an activity quality
acceptance and how to respond to project variances Team members operate best when their
individual levels of authority match their individual responsibilities
○○ Responsibility The assigned duties and work that a project team member is expected to perform
in order to complete the project’s activities
○○ Competency The skill and capacity required to complete assigned activities within the project
constraints If project team members do not possess required competencies performance can
be jeopardized When such mismatches are identified proactive responses such as training
hiring schedule changes or scope changes are initiated265©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
9
• Project organization charts A project organization chart is a graphic display of project team members
and their reporting relationships It can be formal or informal highly detailed or broadly framed based on
the needs of the project For example the project organization chart for a 3000person disaster response
team will have greater detail than a project organization chart for an internal twentyperson project
• Staffing management plan The staffing management plan is a component of the human resource
management plan that describes when and how project team members will be acquired and how long
they will be needed It describes how human resource requirements will be met The staffing management
plan can be formal or informal highly detailed or broadly framed depending upon the needs of the
project The plan is updated continually during the project to direct ongoing team member acquisition and
development actions Information in the staffing management plan varies by application area and project
size but items to consider include
○○ Staff acquisition A number of questions arise when planning the acquisition of project team
members For example whether the human resources come from within the organization or
from external contracted sources whether the team members need to work in a central location
or may work from distant locations costs associated with each level of expertise needed for
the project and level of assistance that the organization’s human resource department and
functional managers are able to provide to the project management team
○○ Resource calendars Calendars that identify the working days and shifts on which each specific
resource is available The staffing management plan describes necessary time frames for
project team members either individually or collectively as well as when acquisition activities
such as recruiting should start One tool for charting human resources is a resource histogram
used by the project management team as a means of providing a visual representation or
resources allocation to all interested parties This chart illustrates the number of hours a person
department or entire project team that will be needed each week or month over the course
of the project The chart can include a horizontal line that represents the maximum number of
hours available from a particular resource Bars that extend beyond the maximum available
hours identify the need for a resource optimization strategy (Section 6624) such as adding
more resources or modifying the schedule An example of a resource histogram is illustrated in
Figure 96266 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
300
275
250
225
200
175
150
125
100
75
50
25
0
Jan Feb Mar Apr May
91623306132027613202731017241 81522
Staff Hours for Senior Designers
40
Figure 96 Illustrative Resource Histogram
○○ Staff release plan Determining the method and timing of releasing team members benefits both
the project and team members When team members are released from a project the costs
associated with those resources are no longer charged to the project thus reducing project
costs Morale is improved when smooth transitions to upcoming projects are already planned A
staff release plan also helps mitigate human resource risks that may occur during or at the end
of a project
○○ Training needs If it is expected that the team members to be assigned will not have the required
competencies a training plan can be developed as part of the project The plan can also include
ways to help team members obtain certifications that would support their ability to benefit the
project
○○ Recognition and rewards Clear criteria for rewards and a planned system for their use help
promote and reinforce desired behaviors To be effective recognition and rewards should be
based on activities and performance under a person’s control For example a team member who
is to be rewarded for meeting cost objectives should have an appropriate level of control over
decisions that affect expenses Creating a plan with established times for distribution of rewards
ensures that recognition takes place and is not forgotten Recognition and rewards are part of
the Develop Project Team process (Section 93)267©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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○○ Compliance The staffing management plan can include strategies for complying with applicable
government regulations union contracts and other established human resource policies
○○ Safety Policies and procedures that protect team members from safety hazards can be included
in the staffing management plan as well as in the risk register
92 Acquire Project Team
Acquire Project Team is the process of confirming human resource availability and obtaining the team necessary
to complete project activities The key benefit of this process consists of outlining and guiding the team selection
and responsibility assignment to obtain a successful team The inputs tools and techniques and outputs of this
process are depicted in Figure 97 Figure 98 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Human resource
management plan
2 Enterprise environmental
factors
3 Organizational process
assets
1 Preassignment
2 Negotiation
3 Acquisition
4 Virtual teams
5 Multicriteria decision
analysis
1 Project staff assignments
2 Resource calendars
3 Project management plan
updates
Figure 97 Acquire Project Team Inputs Tools & Techniques and Outputs268 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
Project Human Resource Management
92
Acquire
Project Team
91
Plan Human
Resource
Management
93
Develop Project
Team
94
Manage
Project Team
• Organizational
process assets
• Enterprise
environmental
factors
• Human resource
management plan
• Resource
calendars
• Project staff
assignments
• Project
management
plan updates
65
Estimate
Activity
Durations
64
Estimate
Activity
Resources
42
Develop Project
Management
Plan
66
Develop
Schedule
73
Determine
Budget
Enterprise
Organization
Figure 98 Acquire Project team data Flow diagram
The project management team may or may not have direct control over team member selection because of
collective bargaining agreements use of subcontractor personnel matrix project environment internal or external
reporting relationships or other various reasons It is important that the following factors are considered during the
process of acquiring the project team
• The project manager or project management team should effectively negotiate and influence others who
are in a position to provide the required human resources for the project
• Failure to acquire the necessary human resources for the project may affect project schedules budgets
customer satisfaction quality and risks Insufficient human resources or capabilities decrease the
probability of success and in a worst case scenario could result in project cancellation
• If the human resources are not available due to constraints such as economic factors or previous
assignments to other projects the project manager or project team may be required to assign alternative
resources perhaps with lower competencies provided there is no violation of legal regulatory mandatory
or other specific criteria269©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
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These factors should be considered and planned for in the planning stages of the project The project manager or
project management team will be required to reflect the impact of any unavailability of required human resources in
the project schedule project budget project risks project quality training plans and the other project management
plans
921 Acquire Project Team Inputs
9211 Human Resource Management Plan
Described in Section 9131 The human resource management plan provides guidance on how project human
resources should be identified staffed managed and eventually released It includes
• Roles and responsibilities defining the positions skills and competencies that the project demands
• Project organization charts indicating the number of people needed for the project and
• Staffing management plan delineating the time periods each project team member will be needed and
other information important to engage the project team
9212 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that influence the Acquire Project Team process
include but are not limited to
• Existing information on human resources including availability competency levels prior experience
interest in working on the project and their cost rate
• Personnel administration policies such as those that affect outsourcing
• Organizational structure as described in Section 231 and
• Colocation or multiple locations
9213 Organizational Process Assets
Described in Section 214 The organizational process assets that influence the Acquire Project Team process
include but are not limited to organizational standard policies processes and procedures270 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
922 Acquire Project Team Tools and Techniques
9221 Preassignment
When project team members are selected in advance they are considered preassigned This situation can
occur if the project is the result of specific people being identified as part of a competitive proposal if the project
is dependent upon the expertise of particular persons or if some staff assignments are defined within the project
charter
9222 Negotiation
Staff assignments are negotiated on many projects For example the project management team may need to
negotiate with
• Functional managers to ensure that the project receives appropriately competent staff in the required
time frame and that the project team members will be able willing and authorized to work on the project
until their responsibilities are completed
• Other project management teams within the performing organization to appropriately assign scarce or
specialized human resources and
• External organizations vendors suppliers contractors etc for appropriate scarce specialized qualified
certified or other such specified human resources Special consideration should be given to external
negotiating policies practices processes guidelines legal and other such criteria
The project management team’s ability to influence others plays an important role in negotiating staff
assignments as do the politics of the organizations involved For example a functional manager will weigh the
benefits and visibility of competing projects when determining where to assign exceptional performers requested
by various project teams
9223 Acquisition
When the performing organization is unable to provide the staff needed to complete a project the required
services may be acquired from outside sources This can involve hiring individual consultants or subcontracting
work to another organization271©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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9224 Virtual Teams
The use of virtual teams creates new possibilities when acquiring project team members Virtual teams can be
defined as groups of people with a shared goal who fulfill their roles with little or no time spent meeting face to
face The availability of communication technology such as email audio conferencing social media webbased
meetings and video conferencing has made virtual teams feasible The virtual team model makes it possible to
• Form teams of people from the same organization who live in widespread geographic areas
• Add special expertise to a project team even though the expert is not in the same geographic area
• Incorporate employees who work from home offices
• Form teams of people who work different shifts hours or days
• Include people with mobility limitations or disabilities and
• Move forward with projects that would have been ignored due to travel expenses
There are some disadvantages related to virtual teams such as possibility for misunderstandings feeling
of isolation difficulties in sharing knowledge and experience between team members and cost of appropriate
technology Communication planning becomes increasingly important in a virtual team environment Additional
time may be needed to set clear expectations facilitate communications develop protocols for resolving conflict
include people in decision making understand cultural differences and share credit in successes
9225 MultiCriteria Decision Analysis
Selection criteria are often used as a part of acquiring the project team By use of a multicriteria decision
analysis tool criteria are developed and used to rate or score potential team members The criteria are weighted
according to the relative importance of the needs within the team Some examples of selection criteria that can be
used to score team members are shown as follows
• Availability Identify whether the team member is available to work on the project within the time period
needed If there are there any concerns for availability during the project timeline
• Cost Verify if the cost of adding the team member is within the prescribed budget
• Experience Verify that the team member has the relevant experience that will contribute to the project
success
• Ability Verify that the team member has the competencies needed by the project272 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
• Knowledge Consider if the team member has relevant knowledge of the customer similar implemented
projects and nuances of the project environment
• Skills Determine whether the member has the relevant skills to use a project tool implementation or
training
• Attitude Determine whether the member has the ability to work with others as a cohesive team
• International factors Consider team member location time zone and communication capabilities
923 Acquire Project Team Outputs
9231 Project Staff Assignments
The project is staffed when appropriate people have been assigned to the team The documentation of these
assignments can include a project team directory memos to team members and names inserted into other parts
of the project management plan such as project organization charts and schedules
9232 Resource Calendars
Resource calendars document the time periods that each project team member is available to work on the project
Creating a reliable schedule (Section 6631) depends on having a good understanding of each person’s availability
and schedule constraints including time zones work hours vacation time local holidays and commitments to
other projects
9233 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to the human
resource management plan For example the person assigned to a predefined role may not fulfill all staffing
requirements outlined in the human resource management plan When gaps occur the project management plan
needs to be updated to change the team structure roles or responsibilities273©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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93 develop Project team
Develop Project Team is the process of improving competencies team member interaction and overall team
environment to enhance project performance The key benefit of this process is that it results in improved teamwork
enhanced people skills and competencies motivated employees reduced staff turnover rates and improved overall
project performance The inputs tools and techniques and outputs of this process are depicted in Figure 99
Figure 910 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Human resource
management plan
2 Project staff assignments
3 Resource calendars
1 Interpersonal skills
2 Training
3 Teambuilding activities
4 Ground rules
5 Colocation
6 Recognition and rewards
7 Personnel assessment
tools
1 Team performance
assessments
2 Enterprise environmental
factors updates
Figure 99 develop Project team Inputs tools & techniques and outputs
Project Human Resource Management
93
Develop
Project Team
91
Plan Human
Resource
Management
92
Acquire Project
Team
94
Manage
Project Team
• Enterprise
environmental
factors updates
• Human resource
management plan
• Resource
calendars
• Team performance
assessments
• Project staff assignments
• Resource calendars
122
Conduct
Procurements
Enterprise
Organization
Figure 910 develop Project team data Flow diagram274 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
Project managers should acquire skills to identify build maintain motivate lead and inspire project teams
to achieve high team performance and to meet the project’s objectives Teamwork is a critical factor for project
success and developing effective project teams is one of the primary responsibilities of the project manager
Project managers should create an environment that facilitates teamwork Project managers should continually
motivate their team by providing challenges and opportunities by providing timely feedback and support as
needed and by recognizing and rewarding good performance High team performance can be achieved by using
open and effective communication creating team building opportunities developing trust among team members
managing conflicts in a constructive manner and encouraging collaborative problem solving and decision making
The project manager should request management support andor influence the appropriate stakeholders to acquire
the resources needed to develop effective project teams
Project managers operate in a global environment and work on projects characterized by cultural diversity Team
members often have diverse industry experience know multiple languages and sometimes operate in the team
language that may be a different language or norm than their native one The project management team should
capitalize on cultural differences focus on developing and sustaining the project team throughout the project life
cycle and promote working together interdependently in a climate of mutual trust Developing the project team
improves the people skills technical competencies and overall team environment and project performance It
requires clear timely effective and efficient communication between team members throughout the life of the
project Objectives of developing a project team include but are not limited to
• Improving knowledge and skills of team members to increase their ability to complete project deliverables
while lowering costs reducing schedules and improving quality
• Improving feelings of trust and agreement among team members to raise morale lower conflict and
increase team work and
• Creating a dynamic cohesive and collaborative team culture to (1) improve individual and team
productivity team spirit and cooperation and (2) allow cross training and mentoring between team
members to share knowledge and expertise
931 Develop Project Team Inputs
9311 Human Resource Management Plan
Described in Section 9131 The human resource management plan provides guidance on how project human
resources should be defined staffed managed controlled and eventually released It identifies training strategies
and plans for developing the project team Items such as rewards feedback additional training and disciplinary
actions can be added to the plan as a result of ongoing team performance assessments and other forms of project
team management275©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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9312 Project Staff Assignments
Described in Section 9231 Team development starts with a list of the project team members Project staff
assignment documents identify the people who are on the team
9313 Resource Calendars
Described in Section 9232 Resource calendars identify times when the project team members can participate
in team development activities
932 Develop Project Team Tools and Techniques
9321 Interpersonal Skills
Interpersonal skills sometimes known as soft skills are behavioral competencies that include proficiencies
such as communication skills emotional intelligence conflict resolution negotiation influence team building and
group facilitation These soft skills are valuable assets when developing the project team For example the project
management team can use emotional intelligence to reduce tension and increase cooperation by identifying
assessing and controlling the sentiments of project team members anticipating their actions acknowledging their
concerns and following up on their issues
9322 Training
Training includes all activities designed to enhance the competencies of the project team members Training
can be formal or informal Examples of training methods include classroom online computerbased onthejob
training from another project team member mentoring and coaching If project team members lack the necessary
management or technical skills such skills can be developed as part of the project work Scheduled training takes
place as stated in the human resource management plan Unplanned training takes place as a result of observation
conversation and project performance appraisals conducted during the controlling process of managing the project
team Training costs could be included in the project budget or supported by performing organization if the added
skills may be useful for future projects It could be performed by inhouse or external trainers276 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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9323 TeamBuilding Activities
Teambuilding activities can vary from a 5minute agenda item in a status review meeting to an offsite
professionally facilitated experience designed to improve interpersonal relationships The objective of teambuilding
activities is to help individual team members work together effectively Teambuilding strategies are particularly
valuable when team members operate from remote locations without the benefit of facetoface contact Informal
communication and activities can help in building trust and establishing good working relationships
As an ongoing process team building is crucial to project success While team building is essential during the
initial stages of a project it is a neverending process Changes in a project environment are inevitable and to
manage them effectively a continued or a renewed teambuilding effort should be applied The project manager
should continually monitor team functionality and performance to determine if any actions are needed to prevent
or correct various team problems
One of the models used to describe team development is the Tuckman ladder (Tuckman 1965 Tuckman &
Jensen 1977) which includes five stages of development that teams may go through Although it’s common for
these stages to occur in order it’s not uncommon for a team to get stuck in a particular stage or slip to an earlier
stage Projects with team members who worked together in the past may skip a stage
• Forming This phase is where the team meets and learns about the project and their formal roles and
responsibilities Team members tend to be independent and not as open in this phase
• Storming During this phase the team begins to address the project work technical decisions and the
project management approach If team members are not collaborative and open to differing ideas and
perspectives the environment can become counterproductive
• Norming In the norming phase team members begin to work together and adjust their work habits and
behaviors to support the team The team learns to trust each other
• Performing Teams that reach the performing stage function as a wellorganized unit They are
interdependent and work through issues smoothly and effectively
• Adjourning In the adjourning phase the team completes the work and moves on from the project
This typically occurs when staff is released from the project as deliverables are completed or as part of
carrying out the Close Project or Phase process (Section 46)
The duration of a particular stage depends upon team dynamics team size and team leadership Project
managers should have a good understanding of team dynamics in order to move their team members through all
stages in an effective manner277©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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9324 Ground Rules
Ground rules establish clear expectations regarding acceptable behavior by project team members Early
commitment to clear guidelines decreases misunderstandings and increases productivity Discussing ground rules
in areas such as code of conduct communication working together or meeting etiquette allows team members to
discover values that are important to one another All project team members share responsibility for enforcing the
rules once they are established
9325 Colocation
Colocation also referred to as tight matrix involves placing many or all of the most active project team
members in the same physical location to enhance their ability to perform as a team Colocation can be temporary
such as at strategically important times during the project or for the entire project Colocation strategies can
include a team meeting room (sometimes called war room) places to post schedules and other conveniences
that enhance communication and a sense of community While colocation is considered a good strategy the use of
virtual teams can bring benefits such as the use of more skilled resources reduced costs less travel and relocation
expenses and the proximity of team members to suppliers customers or other key stakeholders
9326 Recognition and Rewards
Part of the team development process involves recognizing and rewarding desirable behavior The original plans
concerning ways in which to reward people are developed during the Plan Human Resource Management process
It is important to recognize that a particular reward given to any individual will be effective only if it satisfies a
need which is valued by that individual Award decisions are made formally or informally during the process of
managing the project team through project performance appraisals (Section 9422) Cultural differences should
be considered when determining recognition and rewards
People are motivated if they feel they are valued in the organization and this value is demonstrated by the
rewards given to them Generally money is viewed as a tangible aspect of any reward system but intangible
rewards could be equally or even more effective Most project team members are motivated by an opportunity to
grow accomplish and apply their professional skills to meet new challenges A good strategy for project managers
is to give the team recognition throughout the life cycle of the project rather than waiting until the project is
completed278 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
9327 Personnel Assessment Tools
Personnel assessment tools give the project manager and the project team insight into areas of strength and
weakness These tools help project managers assess the team preferences aspirations how they process and
organize information how they tend to make decisions and how they prefer to interact with people
Various tools are available such as attitudinal surveys specific assessments structured interviews ability
tests and focus groups These tools can provide improved understanding trust commitment and communications
among team members and facilitate more productive teams throughout the project
933 Develop Project Team Outputs
9331 Team Performance Assessments
As project team development efforts such as training team building and colocation are implemented the
project management team makes formal or informal assessments of the project team’s effectiveness Effective
team development strategies and activities are expected to increase the team’s performance which increases
the likelihood of meeting project objectives Team performance assessment criteria should be determined by all
appropriate parties and incorporated in the Develop Project Team inputs
The performance of a successful team is measured in terms of technical success according to agreedupon
project objectives (including quality levels) performance on project schedule (finished on time) and performance
on budget (finished within financial constraints) Highperformance teams are characterized by these taskoriented
and resultsoriented outcomes
The evaluation of a team’s effectiveness may include indicators such as
• Improvements in skills that allow individuals to perform assignments more effectively
• Improvements in competencies that help the team perform better as a team
• Reduced staff turnover rate and
• Increased team cohesiveness where team members share information and experiences openly and help
each other to improve the overall project performance279©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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As a result of conducting an evaluation of the team’s overall performance the project management team
can identify the specific training coaching mentoring assistance or changes required to improve the team’s
performance This should also include identification of the appropriate or required resources necessary to achieve
and implement the improvements identified in the assessment These resources and recommendations for team
improvement should be well documented and forwarded to the relevant parties
9332 Enterprise Environmental Factors Updates
The enterprise environmental factors that may be updated as a result of the Develop Project Team process
include but are not limited to personnel administration employee training records and skill assessments
94 Manage Project Team
Manage Project Team is the process of tracking team member performance providing feedback resolving
issues and managing team changes to optimize project performance The key benefit of this process is that it
influences team behavior manages conflict resolves issues and appraises team member performance The inputs
tools and techniques and outputs of this process are depicted in Figure 911 Figure 912 depicts the data flow
diagram of the process
Inputs Tools & Techniques Outputs
1 Human resource
management plan
2 Project staff assignments
3 Team performance
assessments
4 Issue log
5 Work performance
reports
6 Organizational process
assets
1 Observation and
conversation
2 Project performance
appraisals
3 Conflict management
4 Interpersonal skills
1 Change requests
2 Project management plan
updates
3 Project documents
updates
4 Enterprise environmental
factors updates
5 Organizational process
assets updates
Figure 911 Manage Project Team Inputs Tools & Techniques and Outputs280 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
Project Human Resource Management
94
Manage
Project Team
92
Acquire
Project
Team
91
Plan Human
Resource
Management
93
Develop
Project
Team
• Organizational
process assets updates
• Enterprise
environmental
factors updates
• Project staff
assignments
• Team
performance
assessments
• Human resource
management plan
• Project documents
updates
• Change requests• Issue log
• Organizational
process assets
• Work performance
reports
• Project
management
plan updates
42
Develop Project
Management
Plan
45
Perform
Integrated
Change Control
133
Manage
Stakeholder
Engagement
44
Monitor and
Control Project
Work
Enterprise
Organization
Project
Documents
Figure 912 Manage Project team data Flow diagram
As a result of managing the project team change requests are submitted the human resource management
plan is updated issues are resolved input is provided for performance appraisals and lessons learned are added
to the organization’s database
Managing the project team requires a variety of management skills for fostering teamwork and integrating the
efforts of team members to create highperformance teams Team management involves a combination of skills
with special emphasis on communication conflict management negotiation and leadership Project managers
should provide challenging assignments to team members and provide recognition for high performance281©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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941 Manage Project Team Inputs
9411 Human Resource Management Plan
Described in Section 9131 The human resource management plan provides guidance on how project human
resources should be defined staffed managed controlled and eventually released It includes but is not limited to
• Roles and responsibilities
• Project organization and
• Staffing management plan
9412 Project Staff Assignments
Described in Section 9231 Project staff assignments provide documentation which includes the list of project
team members
9413 Team Performance Assessments
Described in Section 9331 The project management team makes ongoing formal or informal assessments of
the project team’s performance By continually assessing the project team’s performance actions can be taken to
resolve issues modify communication address conflict and improve team interaction
9414 Issue Log
Issues arise in the course of managing the project team An issue log can be used to document and monitor who
is responsible for resolving specific issues by a target date
9415 Work Performance Reports
Described in Section 4432 Work performance reports provide documentation about the current project status
compared to project forecasts Performance areas that can help with project team management include results
from schedule control cost control quality control and scope validation The information from performance reports
and related forecasts assists in determining future human resource requirements recognition and rewards and
updates to the staffing management plan282 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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9416 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Manage Project Team
process include but are not limited to
• Certificates of appreciation
• Newsletters
• Websites
• Bonus structures
• Corporate apparel and
• Other organizational perquisites
942 Manage Project Team Tools and Techniques
9421 Observation and Conversation
Observation and conversation are used to stay in touch with the work and attitudes of project team members
The project management team monitors progress toward project deliverables accomplishments that are a source
of pride for team members and interpersonal issues
9422 Project Performance Appraisals
Objectives for conducting performance appraisals during the course of a project can include clarification of
roles and responsibilities constructive feedback to team members discovery of unknown or unresolved issues
development of individual training plans and the establishment of specific goals for future time periods
The need for formal or informal project performance appraisals depends on the length of the project complexity of
the project organizational policy labor contract requirements and the amount and quality of regular communication
9423 Conflict Management
Conflict is inevitable in a project environment Sources of conflict include scarce resources scheduling
priorities and personal work styles Team ground rules group norms and solid project management practices like
communication planning and role definition reduce the amount of conflict283©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Successful conflict management results in greater productivity and positive working relationships When
managed properly differences of opinion can lead to increased creativity and better decision making If the
differences become a negative factor project team members are initially responsible for their resolution If conflict
escalates the project manager should help facilitate a satisfactory resolution Conflict should be addressed early
and usually in private using a direct collaborative approach If disruptive conflict continues formal procedures may
be used including disciplinary actions
The success of project managers in managing their project teams often depends a great deal on their ability to
resolve conflict Different project managers may utilize different conflict resolution methods Factors that influence
conflict resolution methods include
• Relative importance and intensity of the conflict
• Time pressure for resolving the conflict
• Position taken by persons involved and
• Motivation to resolve conflict on a longterm or a shortterm basis
There are five general techniques for resolving conflict As each one has its place and use these are not given
in any particular order
• WithdrawAvoid Retreating from an actual or potential conflict situation postponing the issue to be
better prepared or to be resolved by others
• SmoothAccommodate Emphasizing areas of agreement rather than areas of difference conceding
one’s position to the needs of others to maintain harmony and relationships
• CompromiseReconcile Searching for solutions that bring some degree of satisfaction to all parties in
order to temporarily or partially resolve the conflict
• ForceDirect Pushing one’s viewpoint at the expense of others offering only winlose solutions usually
enforced through a power position to resolve an emergency
• CollaborateProblem Solve Incorporating multiple viewpoints and insights from differing perspectives
requires a cooperative attitude and open dialogue that typically leads to consensus and commitment
9424 Interpersonal Skills
Project managers use a combination of technical personal and conceptual skills to analyze situations and
interact appropriately with team members Using appropriate interpersonal skills allows project managers to
capitalize on the strengths of all team members284 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
9 PROJECT HUMAN RESOURCE MANAGEMENT
Examples of interpersonal skills that a project manager uses most often include
• Leadership Successful projects require strong leadership skills Leadership is important through all
phases of the project life cycle There are multiple leadership theories defining leadership styles that
should be used as needed for each situation or team It is especially important to communicate the vision
and inspire the project team to achieve high performance
• Influencing Because project managers often have little or no direct authority over team members in a
matrix environment their ability to influence stakeholders on a timely basis is critical to project success
Key influencing skills include
○○ Ability to be persuasive and clearly articulate points and positions
○○ High levels of active and effective listening skills
○○ Awareness of and consideration for the various perspectives in any situation and
○○ Gathering relevant and critical information to address important issues and reach agreements
while maintaining mutual trust
• Effective decision making This involves the ability to negotiate and influence the organization and the
project management team Some guidelines for decision making include
○○ Focus on goals to be served
○○ Follow a decisionmaking process
○○ Study the environmental factors
○○ Analyze available information
○○ Develop personal qualities of the team members
○○ Stimulate team creativity and
○○ Manage risk
943 Manage Project Team Outputs
9431 Change Requests
Staffing changes whether by choice or by uncontrollable events can affect the rest of the project management
plan When staffing issues disrupt the project team from adhering to the project management plan such as causing
the schedule to be extended or the budget to be exceeded a change request can be processed through the
Perform Integrated Change Control process Staffing changes may include moving people to different assignments
outsourcing some of the work and replacing team members who leave285©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Preventive actions are those actions that are developed to reduce the probability andor impact of problems
before they occur These actions may include cross training to reduce problems during project team member
absences and additional role clarification to ensure all responsibilities are fulfilled
9432 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to the human
resource management plan
9433 Project Documents Updates
Project documents that may indirectly be updated include but are not limited to
• Issue log
• Roles description and
• Project staff assignments
9434 Enterprise Environmental Factors Updates
Enterprise environmental factors that may require updates as a result of the Manage Project Team process
include but are not limited to
• Input to organizational performance appraisals and
• Personnel skill updates
9435 Organizational Process Assets Updates
Organizational process assets that may require updates as a result of the Manage Project Team process include
but are not limited to
• Historical information and lessons learned documentation
• Templates and
• Organizational standard processes287©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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PROJECT COMMUNICATIONS MANAGEMENT
Project Communications Management includes the processes that are required to ensure timely and appropriate
planning collection creation distribution storage retrieval management control monitoring and the ultimate
disposition of project information Project managers spend most of their time communicating with team members
and other project stakeholders whether they are internal (at all organizational levels) or external to the organization
Effective communication creates a bridge between diverse stakeholders who may have different cultural and
organizational backgrounds different levels of expertise and different perspectives and interests which impact or
have an influence upon the project execution or outcome
Figure 101 provides an overview of the Project Communications Management processes which are as follows
101 Plan Communications Management—The process of developing an appropriate approach and
plan for project communications based on stakeholder’s information needs and requirements and
available organizational assets
102 Manage Communications—The process of creating collecting distributing storing retrieving and
the ultimate disposition of project information in accordance with the communications management
plan
103 Control Communications—The process of monitoring and controlling communications throughout
the entire project life cycle to ensure the information needs of the project stakeholders are met
These processes interact with each other and with processes in other Knowledge Areas as described in detail
in Section 3 and Annex A1
The communication activities involved in these processes may often have many potential dimensions that need
to be considered including but not limited to
• Internal (within the project) and external (customer vendors other projects organizations the public)
• Formal (reports minutes briefings) and informal (emails memos adhoc discussions)
• Vertical (up and down the organization) and horizontal (with peers)
• Official (newsletters annual report) and unofficial (off the record communications) and
• Written and oral and verbal (voice inflections) and nonverbal (body language)
1010288 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
Most communication skills are common for both general management and project management such as but
not limited to
• Listening actively and effectively
• Questioning and probing ideas and situations to ensure better understanding
• Educating to increase team’s knowledge so that they can be more effective
• Factfinding to identify or confirm information
• Setting and managing expectations
• Persuading a person a team or an organization to perform an action
• Motivating to provide encouragement or reassurance
• Coaching to improve performance and achieve desired results
• Negotiating to achieve mutually acceptable agreements between parties
• Resolving conflict to prevent disruptive impacts and
• Summarizing recapping and identifying the next steps
1 Inputs
1 Project management plan
2 Stakeholder register
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Communication requirements
analysis
2 Communication technology
3 Communication models
4 Communication methods
5 Meetings
3 Outputs
1 Communications management
plan
2 Project documents updates
1 Inputs
1 Communications management
plan
2 Work performance reports
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Communication technology
2 Communication models
3 Communication methods
4 Information management
systems
5 Performance reporting
3 Outputs
1 Project communications
3 Project management plan
updates
2 Project documents updates
4 Organizational process assets
updates
1 Inputs
1 Project management plan
2 Project communications
3 Issue log
4 Work performance data
5 Organizational process assets
2 Tools & Techniques
1 Information management
systems
2 Expert judgment
3 Meetings
3 Outputs
1 Work performance information
2 Change requests
3 Project management plan
updates
4 Project documents updates
5 Organizational process assets
updates
Project Communications
Management Overview
102 Manage
Communications
101 Plan Communications
Management
103 Control
Communications
Figure 101 Project Communications Management Overview289©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
10
101 Plan communications Management
Plan Communications Management is the process of developing an appropriate approach and plan for project
communications based on stakeholder’s information needs and requirements and available organizational assets
The key benefit of this process is that it identifies and documents the approach to communicate most effectively
and efficiently with stakeholders The inputs tools and techniques and outputs of this process are depicted in
Figure 102 Figure 103 depicts the data flow diagram of the Plan Communications Management process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Stakeholder register
3 Enterprise environmental
factors
4 Organizational process
assets
1 Communication
requirements analysis
2 Communication
technology
3 Communication models
4 Communication methods
5 Meetings
1 Communications
management plan
2 Project documents
updates
Figure 102 Plan communications Management Inputs tools & techniques and outputs
Project Communications Management
101
Plan
Communications
Management
102
Manage
Communications
• Stakeholder
register • Communications
management plan
• Organizational
process assets
• Enterprise
environmental
factors
• Project
management plan
• Project
documents
updates
42
Develop Project
Management
Plan
133
Manage
Stakeholder
Engagement
131
Identify
Stakeholders
Enterprise
Organization Project
Documents
Figure 103 Plan communications Management data Flow diagram290 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
Planning the project communications is important to the ultimate success of any project Inadequate
communications planning may lead to problems such as delay in message delivery communication of information
to the wrong audience or insufficient communication to the stakeholders and misunderstanding or misinterpretation
of the message communicated
On most projects communication planning is performed very early such as during project management plan
development This allows appropriate resources such as time and budget to be allocated to communication
activities Effective communication means that the information is provided in the right format at the right time to
the right audience and with the right impact Efficient communication means providing only the information that
is needed
While all projects share the need to communicate project information the information needs and methods of
distribution may vary widely In addition the methods of storage retrieval and ultimate disposition of the project
information need to be considered and appropriately documented during this process Important considerations
that may need to be taken into account include but are not limited to
• Who needs what information and who is authorized to access that information
• When they will need the information
• Where the information should be stored
• What format the information should be stored in
• How the information can be retrieved and
• Whether time zone language barriers and crosscultural considerations need to be taken into account
The results of the Plan Communications Management process should be reviewed regularly throughout the
project and revised as needed to ensure continued applicability
1011 Plan Communications Management Inputs
10111 Project Management Plan
Described in Section 4231 The project management plan provides information on how the project will be
executed monitored controlled and closed291©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
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10112 Stakeholder Register
Described in Section 13131 The stakeholder register provides the information needed to plan the
communication with project stakeholders
10113 Enterprise Environmental Factors
Described in Section 215 The Plan Communications Management process is tightly linked with enterprise
environmental factors since the structure of an organization will have a major effect on the project’s communication
requirements All enterprise environmental factors described in Section 215 are used as inputs for this process
since communications need to be adapted to the project environment
10114 Organizational Process Assets
Described in Section 214 All organizational process assets described in Section 214 are used as inputs to the
Plan Communications Management process Of these lessons learned and historical information are of particular
importance because they can provide insights on both the decisions taken regarding communications issues and
the results of those decisions in previous similar projects These can be used as guiding information to plan the
communication activities for the current project
1012 Plan Communications Management Tools and Techniques
10121 Communication Requirements Analysis
The analysis of the communication requirements determines the information needs of the project stakeholders
These requirements are defined by combining the type and format of information needed with an analysis of the
value of that information Project resources should be expended only on communicating information that contributes
to the success of the project or where a lack of communication can lead to failure292 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
The project manager should also consider the number of potential communication channels or paths as an
indicator of the complexity of a project’s communications The total number of potential communication channels
is n(n – 1)2 where n represents the number of stakeholders For example a project with 10 stakeholders has
10(10 – 1)2 45 potential communication channels As a result a key component of planning the project’s
actual communications is to determine and limit who will communicate with whom and who will receive what
information
Sources of information typically used to identify and define project communication requirements include but
are not limited to
• Organizational charts
• Project organization and stakeholder responsibility relationships
• Disciplines departments and specialties involved in the project
• Logistics of how many persons will be involved with the project and at which locations
• Internal information needs (eg when communicating within organizations)
• External information needs (eg when communicating with the media public or contractors) and
• Stakeholder information and communication requirements from within the stakeholder register
10122 Communication Technology
The methods used to transfer information among project stakeholders may vary significantly For example a
project team may use techniques from brief conversations to extended meetings or from simple written documents
to extensive materials (eg schedules databases and websites) which are accessible online as methods of
communication
Factors that can affect the choice of communication technology include
• Urgency of the need for information There is a need to consider the urgency frequency and format
of the information to be communicated as they may vary from project to project and also within different
stages of a project
• Availability of technology There is a need to ensure that the technology that is required to facilitate
communication is compatible available and accessible for all stakeholders throughout the life of the
project293©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Ease of Use There is a need to ensure that the choice of communication technologies is suitable for
project participants and that appropriate training events are planned for where appropriate
• Project environment There is a need to determine if the team will meet and operate on a facetoface
basis or in a virtual environment whether they will be located in one or multiple time zones whether
they will use multiple languages for communication and finally whether there are any other project
environmental factors such as culture which may affect communications
• Sensitivity and confidentiality of the information There is a need to determine if the information
to be communicated is sensitive or confidential and whether or not additional security measures need
to be taken Also the most appropriate way to communicate the information should be considered
10123 Communication Models
The communication models used to facilitate communications and the exchange of information may vary from
project to project and also within different stages of the same project A basic communication model shown in
Figure 104 consists of two parties defined as the sender and receiver Medium is the technology medium and
includes the mode of communication while noise includes any interference or barriers that might compromise the
delivery of the message The sequence of steps in a basic communication model is
• Encode Thoughts or ideas are translated (encoded) into language by the sender
• Transmit Message This information is then sent by the sender using communication channel (medium)
The transmission of this message may be compromised by various factors (eg distance unfamiliar
technology inadequate infrastructure cultural difference and lack of background information) These
factors are collectively termed as noise
• Decode The message is translated by the receiver back into meaningful thoughts or ideas
• Acknowledge Upon receipt of a message the receiver may signal (acknowledge) receipt of the message
but this does not necessarily mean agreement with or comprehension of the message
• FeedbackResponse When the received message has been decoded and understood the receiver
encodes thoughts and ideas into a message and then transmits this message to the original sender294 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
Sender
Encode
Decode
Receiver
Decode
Encode
Transmit
Message
Feedback
MessageNoise
Medium
Noise
Noise
Acknowledge
Message
Figure 104 Basic Communication Model
The components of the basic communication model need to be considered when project communications
are discussed As part of the communications process the sender is responsible for the transmission
of the message ensuring the information being communicated is clear and complete and confirming the
communication is correctly understood The receiver is responsible for ensuring that the information is received
in its entirety understood correctly and acknowledged or responded to appropriately
There are many challenges in using these components to effectively communicate with project stakeholders
such as in a highly technical multinational project team Successful communication of a technical concept
from one team member to another team member in a different country could involve encoding the message in
the appropriate language sending the message using a variety of technologies and having the receiver decode
the message into his or her native language and then reply or provide feedback Any noise introduced along
the way may compromise the original meaning of the message In this example there are multiple factors that
may lead to the intended meaning of the message being misunderstood or misinterpreted
10124 Communication Methods
There are several communication methods that are used to share information among project stakeholders
These methods are broadly classified as follows295©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Interactive communication Between two or more parties performing a multidirectional exchange
of information It is the most efficient way to ensure a common understanding by all participants on
specified topics and includes meetings phone calls instant messaging video conferencing etc
• Push communication Sent to specific recipients who need to receive the information This ensures
that the information is distributed but does not ensure that it actually reached or was understood by the
intended audience Push communications include letters memos reports emails faxes voice mails
blogs press releases etc
• Pull communication Used for very large volumes of information or for very large audiences and
requires the recipients to access the communication content at their own discretion These methods
include intranet sites elearning lessons learned databases knowledge repositories etc
The choices of communication methods that are used for a project may need to be discussed and agreed upon
by the project stakeholders based on communication requirements cost and time constraints and familiarity and
availability of the required tools and resources that may be applicable to the communications process
10125 Meetings
Described in Section 4323 The Plan Communications Management process requires discussion and dialogue
with the project team to determine the most appropriate way to update and communicate project information
and to respond to requests from various stakeholders for that information These discussions and dialogue are
commonly facilitated through meetings which may be conducted face to face or online and in different locations
such as the project site or the customer’s site
There are several types of projectrelated meetings where project communications may occur Most project
meetings consist of stakeholders coming together for the purpose of resolving problems or making decisions
Although casual discussions may be construed as a meeting most project meetings are more formal with a
prearranged time place and agenda Typical meetings begin with a defined list of issues to be discussed which are
circulated in advance with minutes and other information documented specifically for the meeting This information
is then disseminated to other appropriate stakeholders on an asneeded basis296 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1013 Plan Communications Management Outputs
10131 Communications Management Plan
The communications management plan is a component of the project management plan that describes how
project communications will be planned structured monitored and controlled The plan contains the following
information
• Stakeholder communication requirements
• Information to be communicated including language format content and level of detail
• Reason for the distribution of that information
• Time frame and frequency for the distribution of required information and receipt of acknowledgment or
response if applicable
• Person responsible for communicating the information
• Person responsible for authorizing release of confidential information
• Person or groups who will receive the information
• Methods or technologies used to convey the information such as memos email andor press releases
• Resources allocated for communication activities including time and budget
• Escalation process identifying time frames and the management chain (names) for escalation of issues
that cannot be resolved at a lower staff level
• Method for updating and refining the communications management plan as the project progresses and
develops
• Glossary of common terminology
• Flow charts of the information flow in the project workflows with possible sequence of authorization list
of reports and meeting plans etc and
• Communication constraints usually derived from a specific legislation or regulation technology and
organizational policies etc297©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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The communications management plan can also include guidelines and templates for project status meetings
project team meetings emeetings and email messages The use of a project website and project management
software can also be included if these are to be used in the project
10132 Project Documents Updates
Project documents that may be updated include but are not limited to
• Project schedule and
• Stakeholder register
102 Manage Communications
Manage Communications is the process of creating collecting distributing storing retrieving and the ultimate
disposition of project information in accordance to the communications management plan The key benefit of this
process is that it enables an efficient and effective communications flow between project stakeholders The inputs
tools and techniques and outputs of this process are depicted in Figure 105 Figure 106 depicts the data flow
diagram of the Manage Communications process
Inputs Tools & Techniques Outputs
1 Communications
management plan
2 Work performance
reports
3 Enterprise environmental
factors
4 Organizational process
assets
1 Communication
technology
2 Communication models
3 Communication methods
4 Information management
systems
5 Performance reporting
1 Project communications
3 Project management plan
updates
2 Project documents
updates
4 Organizational process
assets updates
Figure 105 Manage Communications Inputs Tools & Techniques and Outputs298 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
Project Communications Management
102
Manage
Communications
101
Plan
Communications
Management
103
Control
Communications
• Organizational
process assets updates
• Communications
management plan
• Project documents
updates
• Project
communications
• Enterprise
environmental
factors
• Organizational
process assets
• Work performance
reports
• Project
management
plan updates
42
Develop Project
Management
Plan
44
Monitor and
Control Project
Work
Enterprise
Organization
Project
Documents
Figure 106 Manage communications data Flow diagram
This process goes beyond the distribution of relevant information and seeks to ensure that the information being
communicated to project stakeholders has been appropriately generated as well as received and understood It
also provides opportunities for stakeholders to make requests for further information clarification and discussion
Techniques and considerations for effective communications management include but are not limited to the
following
• Senderreceiver models Incorporating feedback loops to provide opportunities for interaction
participation and remove barriers to communication
• choice of media Situation specifics as to when to communicate in writing versus orally when to prepare
an informal memo versus a formal report and when to communicate face to face versus by email
• Writing style Appropriate use of active versus passive voice sentence structure and word choice299©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Meeting management techniques Preparing an agenda and dealing with conflicts
• Presentation techniques Awareness of the impact of body language and design of visual aids
• Facilitation techniques Building consensus and overcoming obstacles
• Listening techniques Listening actively (acknowledging clarifying and confirming understanding) and
removal of barriers that adversely affect comprehension
1021 Manage Communications Inputs
10211 Communications Management Plan
Described in Section 10131 The communications management plan describes how project communications
will be planned structured monitored and controlled
10212 Work Performance Reports
Described in Section 4432 Work performance reports are a collection of project performance and status
information that may be used to facilitate discussion and to create communications To optimize this process it is
important that reports be comprehensive accurate and available in a timely manner
10213 Enterprise Environmental Factors
Described in Section 215 Specific enterprise environmental factors that can influence the Manage
Communications process include but are not limited to
• Organizational culture and structure
• Government or industry standards and regulations and
• Project management information system
10214 Organizational Process Assets
Described in Section 214 Organizational process assets that can influence the Manage Communications
process include but are not limited to300 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
• Policies procedures processes and guidelines regarding communications management
• Templates and
• Historical information and lessons learned
1022 Manage Communications Tools and Techniques
10221 Communication Technology
Described in Section 10122 The choice of communication technology is an important consideration in the
Manage Communications process As this can vary significantly from project to project and also throughout the life
of a project the focus is to ensure that the choice is appropriate for the information that is being communicated
10222 Communication Models
Described in Section 10123 The choice of communication models is an important consideration
in this process As the components in the communications all contribute toward an effective and efficient
communications process the focus is to ensure that the choice of the communication model is appropriate for
the project that is undertaken and that any barriers (noise) are identified and managed
10223 Communication Methods
Described in Section 10124 The choice of communication methods is an important consideration in this
process As there can be many potential barriers and challenges during this process the focus is to ensure that
the information that has been created and distributed has been received and understood to enable response and
feedback
10224 Information Management Systems
Project information is managed and distributed using a variety of tools including
• Hardcopy document management letters memos reports and press releases
• Electronic communications management email fax voice mail telephone video and web conferencing
websites and web publishing and
• Electronic project management tools web interfaces to scheduling and project management software
meeting and virtual office support software portals and collaborative work management tools301©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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10225 Performance Reporting
Performance reporting is the act of collecting and distributing performance information including status reports
progress measurements and forecasts Performance reporting involves the periodic collection and analysis of
baseline versus actual data to understand and communicate the project progress and performance as well as to
forecast the project results
Performance reporting needs to provide information at an appropriate level for each audience The format
may range from a simple status report to more elaborate reports and may be prepared regularly or on an
exception basis A simple status report might show performance information such as percent complete or status
dashboards for each area (ie scope schedule cost and quality) More elaborate reports may include
• Analysis of past performance
• Analysis of project forecasts (including time and cost)
• Current status of risks and issues
• Work completed during the period
• Work to be completed in the next period
• Summary of changes approved in the period and
• Other relevant information which is reviewed and discussed
1023 Manage Communications Outputs
10231 Project Communications
The Manage Communications process involves the activities that are required for information to be created
distributed received acknowledged and understood Project communications may include but are not limited to
performance reports deliverables status schedule progress and cost incurred Project communications can vary
significantly and are influenced by factors such as but not limited to the urgency and impact of the message its
method of delivery and level of confidentiality302 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
10232 Project Management Plan Updates
The project management plan provides information on project baselines communications management and
stakeholder management Each of these areas may require updates based upon the current performance of the
project against the performance measurement baseline (PMB) The performance measurement baseline is an
approved plan for the project work to which the project execution is compared and deviations are measured
for management control The performance measurement baseline typically integrates scope schedule and cost
parameters of a project but may also include technical and quality parameters
10233 Project Documents Updates
Project documents that may be updated include but are not limited to
• Issue log
• Project schedule and
• Project funding requirements
10234 Organizational Process Assets Updates
The organizational process assets which may be updated include but are not limited to
• Stakeholder notifications Information may be provided to stakeholders about resolved issues approved
changes and general project status
• Project reports Formal and informal project reports describe project status and include lessons learned
issue logs project closure reports and outputs from other Knowledge Areas (Sections 413)
• Project presentations The project team provides information formally or informally to any or all of the
project stakeholders The information and presentation method should be relevant to the needs of the
audience
• Project records Project records may include correspondence memos meeting minutes and other
documents describing the project This information should to the extent possible and appropriate
be maintained in an organized manner Project team members can also maintain records in a project
notebook or register which could be physical or electronic303©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Feedback from stakeholders Information received from stakeholders concerning project operations is
distributed and used to modify or improve future performance of the project
• Lessons learned documentation Documentation includes the causes of issues reasoning behind
the corrective action chosen and other types of lessons learned about communications management
Lessons learned need to be documented and distributed so that it becomes part of the historical database
for both the project and the performing organization
103 Control Communications
Control Communications is the process of monitoring and controlling communications throughout the entire
project life cycle to ensure the information needs of the project stakeholders are met The key benefit of this process
is that it ensures an optimal information flow among all communication participants at any moment in time The
inputs tools and techniques and outputs of this process are depicted in Figure 107 Figure 108 depicts the data
flow diagram of the Control Communications process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Project communications
3 Issue log
4 Work performance data
5 Organizational process
assets
1 Information management
systems
2 Expert judgment
3 Meetings
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure 107 Control Communications Inputs Tools & Techniques and Outputs304 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
10 PROJECT COMMUNICATIONS MANAGEMENT
Project Communications Management
102
Manage
Communications
• Organizational process
assets updates
• Project
communications
• Project documents
updates
• Change
requests• Organizational
process assets
• Work performance data
• Issue log
• Project
management
plan
• Project
management
plan updates
• Work performance
information
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
42
Develop Project
Management
Plan
43
Direct and
Manage Project
Work
133
Manage
Stakeholder
Engagement
103
Control
Communications
Enterprise
Organization
Project
Documents
Figure 108 control communications data Flow diagram
The Control Communications process can trigger an iteration of the Plan Communications Management andor
Manage Communications processes This iteration illustrates the continuous nature of the Project Communications
Management processes Specific communication elements such as issues or key performance indicators (eg
actual vs planned schedule cost and quality) may trigger an immediate revision while others may not The impact
and repercussions of project communications should be carefully evaluated and controlled to ensure that the right
message is delivered to the right audience at the right time
1031 control communications Inputs
10311 Project Management Plan
Described in Section 4231 The project management plan describes how the project will be executed
monitored controlled and closed It provides valuable information for the Control Communications process such
as but not limited to305©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Stakeholder communication requirements
• Reason for the distribution of the information
• Timeframe and frequency for the distribution of required information
• Individual or group responsible for communication of the information and
• Individual or group receiving the information
10312 Project Communications
Described in Section 10231 The Control Communications process involves the activities that are required
for information and communications to be monitored acted upon and released to stakeholders Project
communications come from multiple sources and may vary significantly in their format level of detail degree of
formality and confidentiality Project communications may include but are not limited to
• Deliverables status
• Schedule progress and
• Costs incurred
10313 Issue Log
Described in Section 13331 An issue log is used to document and monitor the resolution of issues It may be
used to facilitate communication and ensure a common understanding of issues A written log documents and helps
to monitor who is responsible for resolving specific issues by a target date Issue resolution addresses obstacles
that can block the team from achieving its goals This information is important to the Control Communications
process as it provides both a repository for what has already happened in the project and a platform for subsequent
communications to be delivered
10314 Work Performance Data
Described in Section 4332 Work performance data organizes and summarizes the information gathered
and presents the results of comparative analysis to the performance measurement baseline306 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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10315 Organizational Process Assets
Described in Section 214 The organizational process assets that may influence the Control Communications
process include but are not limited to
• Report templates
• Policies standards and procedures that define communications
• Specific communication technologies available
• Allowed communication media
• Record retention policies and
• Security requirements
1032 Control Communications Tools and Techniques
10321 Information Management Systems
An information management system provides a set of standard tools for the project manager to capture store
and distribute information to stakeholders about the project’s costs schedule progress and performance Some
software packages allow the project manager to consolidate reports from several systems and facilitate report
distribution to the project stakeholders Examples of distribution formats may include table reporting spreadsheet
analysis and presentations Graphic capabilities can be used to create visual representations of project performance
information
10322 Expert Judgment
Expert judgment is often relied upon by the project team to assess the impact of the project communications
need for action or intervention actions that should be taken responsibility for taking such actions and the timeframe
for taking action Expert judgment may need to be applied to technical andor management details and may be
provided by any group or individual with specialized knowledge or training such as307©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Other units within the organization
• Consultants
• Stakeholders including customers or sponsors
• Professional and technical associations
• Industry groups
• Subject matter experts and
• Project management office (PMO)
The project manager in collaboration with the project team then determines the actions required to ensure that
the right message is communicated to the right audience at the right time
10323 Meetings
The Control Communications process requires discussion and dialogue with the project team to determine
the most appropriate way to update and communicate project performance and to respond to requests from
stakeholders for information These discussions and dialogues are commonly facilitated through meetings
which may be conducted face to face or online and in different locations such as the project site or the
client’s site Project meetings also include discussions and dialog with suppliers vendors and other project
stakeholders
1033 Control Communications Outputs
10331 Work Performance Information
Described in Section 4415 Work performance information organizes and summarizes the performance data
gathered This performance data typically provides status and progress information on the project at the level of
detail required by the various stakeholders This information is then communicated to the appropriate stakeholders
10332 Change Requests
Described in Section 4333 The Control Communications process often results in the need for adjustment
action and intervention As a result change requests will be generated as an output These change requests are
processed through the Perform Integrated Change Control process (Section 45) and may result in308 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• New or revised cost estimates activity sequences schedule dates resource requirements and analysis
of risk response alternatives
• Adjustments to the project management plan and documents
• Recommendations of corrective actions that may bring the expected future performance of the project
back in line with the project management plan and
• Recommendations of preventive actions that may reduce the probability of incurring future negative
project performance
10333 Project Management Plan Updates
Control Communications process may trigger updates to the communications management plan as well as
other components of the project management plan (eg stakeholders and human resource management plans)
10334 Project Documents Updates
Project documents may be updated as a result of the Control Communications process These updates may
include but are not limited to
• Forecasts
• Performance reports and
• Issue log
10335 Organizational Process Assets Updates
The organizational process assets that may be updated include but are not limited to report formats and
lessons learned documentation This documentation may become part of the historical database for both this
project and the performing organization and may include the causes of issues reasons behind the corrective action
chosen and other types of lessons learned during the project309©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11
PROJECT RISK MANAGEMENT
Project Risk Management includes the processes of conducting risk management planning identification
analysis response planning and controlling risk on a project The objectives of project risk management are to
increase the likelihood and impact of positive events and decrease the likelihood and impact of negative events
in the project
Figure 111 provides an overview of the Project Risk Management processes which are as follows
111 Plan Risk Management—The process of defining how to conduct risk management activities for a
project
112 Identify Risks—The process of determining which risks may affect the project and documenting
their characteristics
113 Perform Qualitative Risk Analysis—The process of prioritizing risks for further analysis or action
by assessing and combining their probability of occurrence and impact
114 Perform Quantitative Risk Analysis—The process of numerically analyzing the effect of identified
risks on overall project objectives
115 Plan Risk Responses—The process of developing options and actions to enhance opportunities and
to reduce threats to project objectives
116 Control Risks—The process of implementing risk response plans tracking identified risks monitoring
residual risks identifying new risks and evaluating risk process effectiveness throughout the project
These processes interact with each other and with processes in other Knowledge Areas as described in detail
in Section 3 and Annex A1
1111310 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
Project risk is an uncertain event or condition that if it occurs has a positive or negative effect on one or
more project objectives such as scope schedule cost and quality A risk may have one or more causes and
if it occurs it may have one or more impacts A cause may be a given or potential requirement assumption
constraint or condition that creates the possibility of negative or positive outcomes For example causes could
include the requirement of an environmental permit to do work or having limited personnel assigned to design the
project The risk is that the permitting agency may take longer than planned to issue a permit or in the case of
an opportunity additional development personnel may become available who can participate in design and they
can be assigned to the project If either of these uncertain events occurs there may be an impact on the project
scope cost schedule quality or performance Risk conditions may include aspects of the project’s or organization’s
environment that contribute to project risk such as immature project management practices lack of integrated
management systems concurrent multiple projects or dependency on external participants who are outside the
project’s direct control
Project risk has its origins in the uncertainty present in all projects Known risks are those that have been
identified and analyzed making it possible to plan responses for those risks Known risks that cannot be managed
proactively should be assigned a contingency reserve Unknown risks cannot be managed proactively and therefore
may be assigned a management reserve A negative project risk that has occurred is considered an issue
Individual project risks are different from overall project risk Overall project risk represents the effect of
uncertainty on the project as a whole It is more than the sum of the individual risks within a project since it includes
all sources of project uncertainty It represents the exposure of stakeholders to the implications of variations in
project outcome both positive and negative
Organizations perceive risk as the effect of uncertainty on projects and organizational objectives Organizations
and stakeholders are willing to accept varying degrees of risk depending on their risk attitude The risk attitudes of
both the organization and the stakeholders may be influenced by a number of factors which are broadly classified
into three themes311©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
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• Risk appetite which is the degree of uncertainty an entity is willing to take on in anticipation of a reward
• Risk tolerance which is the degree amount or volume of risk that an organization or individual will
withstand
• Risk threshold which refers to measures along the level of uncertainty or the level of impact at which a
stakeholder may have a specific interest Below that risk threshold the organization will accept the risk
Above that risk threshold the organization will not tolerate the risk
For example an organization’s risk attitude may include its appetite for uncertainty its threshold for risk levels
that are unacceptable or its risk tolerance at which point the organization may select a different risk response
Positive and negative risks are commonly referred to as opportunities and threats The project may be accepted
if the risks are within tolerances and are in balance with the rewards that may be gained by taking the risks Positive
risks that offer opportunities within the limits of risk tolerances may be pursued in order to generate enhanced
value For example adopting an aggressive resource optimization technique is a risk taken in anticipation of a
reward for using fewer resources
Individuals and groups adopt attitudes toward risk that influence the way they respond These risk attitudes are
driven by perception tolerances and other biases which should be made explicit wherever possible A consistent
approach to risk should be developed for each project and communication about risk and its handling should
be open and honest Risk responses reflect an organization’s perceived balance between risk taking and risk
avoidance
To be successful an organization should be committed to address risk management proactively and consistently
throughout the project A conscious choice should be made at all levels of the organization to actively identify and
pursue effective risk management during the life of the project Project risk could exist at the moment a project
is initiated Moving forward on a project without a proactive focus on risk management is likely to lead to more
problems arising from unmanaged threats312 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
1 Inputs
1 Project management plan
2 Project charter
3 Stakeholder register
4 Enterprise environmental
factors
5 Organizational process assets
2 Tools & Techniques
1 Analytical techniques
2 Expert judgment
3 Meetings
3 Outputs
1 Risk management plan
1 Inputs
1 Risk management plan
2 Cost management plan
3 Schedule management plan
4 Quality management plan
5 Human resource
management plan
6 Scope baseline
7 Activity cost estimates
8 Activity duration estimates
9 Stakeholder register
10 Project documents
11 Procurement documents
12 Enterprise environmental
factors
13 Organizational process assets
2 Tools & Techniques
1 Documentation reviews
2 Information gathering
techniques
3 Checklist analysis
4 Assumptions analysis
5 Diagramming techniques
6 SWOT analysis
7 Expert judgment
3 Outputs
1 Risk register
1 Inputs
1 Risk management plan
2 Scope baseline
3 Risk register
4 Enterprise environmental
factors
5 Organizational process assets
2 Tools & Techniques
1 Risk probability and impact
assessment
2 Probability and impact matrix
3 Risk data quality assessment
4 Risk categorization
5 Risk urgency assessment
6 Expert judgment
3 Outputs
1 Project documents updates
1 Inputs
1 Risk management plan
2 Cost management plan
3 Schedule management plan
4 Risk register
5 Enterprise environmental
factors
6 Organizational process assets
2 Tools & Techniques
1 Data gathering and
representation techniques
2 Quantitative risk analysis and
modeling techniques
3 Expert judgment
3 Outputs
1 Project documents updates
Project Risk
Management Overview
112 Identify Risks111 Plan Risk
Management
113 Perform Qualitative
Risk Analysis
1 Inputs
1 Risk management plan
2 Risk register
2 Tools & Techniques
1 Strategies for negative risks or
threats
2 Strategies for positive risks or
opportunities
3 Contingent response
strategies
4 Expert judgment
3 Outputs
1 Project management plan
updates
2 Project documents updates
1 Inputs
1 Project management plan
2 Risk register
3 Work performance data
4 Work performance reports
2 Tools & Techniques
1 Risk reassessment
2 Risk audits
3 Variance and trend analysis
4 Technical performance
measurement
5 Reserve analysis
6 Meetings
3 Outputs
1 Work performance information
2 Change requests
3 Project management plan
updates
4 Project documents updates
5 Organizational process assets
updates
115 Plan Risk Responses
116 Control Risks
114 Perform Quantitative
Risk Analysis
Figure 111 Project Risk Management Overview313©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
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111 Plan risk Management
Plan Risk Management is the process of defining how to conduct risk management activities for a project The
key benefit of this process is it ensures that the degree type and visibility of risk management are commensurate
with both the risks and the importance of the project to the organization The risk management plan is vital to
communicate with and obtain agreement and support from all stakeholders to ensure the risk management process
is supported and performed effectively over the project life cycle The inputs tools and techniques and outputs of
this process are depicted in Figure 112 Figure 113 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Project charter
3 Stakeholder register
4 Enterprise environmental
factors
5 Organizational process
assets
1 Analytical techniques
2 Expert judgment
3 Meetings
1 Risk management plan
Figure 112 Plan risk Management Inputs tools & techniques and outputs
Project Risk Management
111
Plan Risk
Management
• Project charter
• Stakeholder
register
• Enterprise
environmental
factors
• Organizational
process assets
• Risk
management
plan
• Project
management
plan
42
Develop Project
Management
Plan
112
Identify
Risks
113
Perform
Qualitative
Risk Analysis
114
Perform
Quantitative
Risk Analysis
115
Plan Risk
Responses
131
Identify
Stakeholders
41
Develop Project
Charter
Enterprise
Organization
Figure 113 Plan risk Management data Flow diagram314 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
Careful and explicit planning enhances the probability of success for other risk management processes Planning
is also important to provide sufficient resources and time for risk management activities and to establish an agreed
upon basis for evaluating risks The Plan Risk Management process should begin when a project is conceived and
should be completed early during project planning
1111 Plan Risk Management Inputs
11111 Project Management Plan
In planning risk management all approved subsidiary management plans and baselines should be taken into
consideration in order to make the risk management plan consistent with them The risk management plan is also
a component of the project management plan The project management plan provides baseline or current state of
riskaffected areas including scope schedule and cost
11112 Project Charter
Described in Section 4131 The project charter can provide various inputs such as highlevel risks highlevel
project descriptions and highlevel requirements
11113 Stakeholder Register
Described in Section 13131 The stakeholder register which contains all details related to the project’s
stakeholders provides an overview of their roles
11114 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Plan Risk Management
process include but are not limited to risk attitudes thresholds and tolerances that describe the degree of risk
that an organization will withstand
11115 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Plan Risk Management
process include but are not limited to315©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11
• Risk categories
• Common definitions of concepts and terms
• Risk statement formats
• Standard templates
• Roles and responsibilities
• Authority levels for decision making and
• Lessons learned
1112 Plan Risk Management Tools and Techniques
11121 Analytical Techniques
Analytical techniques are used to understand and define the overall risk management context of the project
Risk management context is a combination of stakeholder risk attitudes and the strategic risk exposure of a given
project based on the overall project context For example a stakeholder risk profile analysis may be performed to
grade and qualify the project stakeholder risk appetite and tolerance Other techniques such as the use of strategic
risk scoring sheets are used to provide a highlevel assessment of the risk exposure of the project based on the
overall project context Depending on these assessments the project team can allocate appropriate resources and
focus on the risk management activities
11122 Expert Judgment
To ensure a comprehensive establishment of the risk management plan judgment and expertise should be
considered from groups or individuals with specialized training or knowledge on the subject area such as
• Senior management
• Project stakeholders
• Project managers who have worked on projects in the same area (directly or through lessons learned)
• Subject matter experts (SMEs) in business or project area
• Industry groups and consultants and
• Professional and technical associations316 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11123 Meetings
Project teams hold planning meetings to develop the risk management plan Attendees at these meetings may
include the project manager selected project team members and stakeholders anyone in the organization with
responsibility to manage the risk planning and execution activities and others as needed
Highlevel plans for conducting the risk management activities are defined in these meetings Risk management
cost elements and schedule activities should be developed for inclusion in the project budget and schedule
respectively Risk contingency reserve application approaches may be established or reviewed Risk management
responsibilities should be assigned General organizational templates for risk categories and definitions of terms
such as levels of risk probability by type of risk impact by type of objectives and the probability and impact matrix
will be tailored to the specific project If templates for other steps in the process do not exist they may be generated
in these meetings The outputs of these activities are summarized in the risk management plan
1113 Plan Risk Management Outputs
11131 Risk Management Plan
The risk management plan is a component of the project management plan and describes how risk management
activities will be structured and performed The risk management plan includes the following
• Methodology Defines the approaches tools and data sources that will be used to perform risk
management on the project
• Roles and responsibilities Defines the lead support and risk management team members for each
type of activity in the risk management plan and clarifies their responsibilities
• Budgeting Estimates funds needed based on assigned resources for inclusion in the cost baseline and
establishes protocols for application of contingency and management reserves
• Timing Defines when and how often the risk management processes will be performed throughout the
project life cycle establishes protocols for application of schedule contingency reserves and establishes
risk management activities for inclusion in the project schedule317©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11
• Risk categories Provide a means for grouping potential causes of risk Several approaches can be
used for example a structure based on project objectives by category A risk breakdown structure (RBS)
helps the project team to look at many sources from which project risk may arise in a risk identification
exercise Different RBS structures will be appropriate for different types of projects An organization can
use a previously prepared custom categorization framework which may take the form of a simple list of
categories or may be structured into an RBS The RBS is a hierarchical representation of risks according
to their risk categories An example is shown in Figure 114
Beta and triangular distributions are frequently used in quantitative risk analysis The data shown in the figure
on the left (Beta Distribution) is one example of a family of such distributions determined by two shape
parameters Other commonly used distributions include the uniform normal and lognormal In these charts
the horizontal (X) axes represent possible values of time or cost and the vertical (Y) axes represent relative
likelihood
Beta Distribution Triangular Distribution
01
00
01
00
Figure 114 Example of a Risk Breakdown Structure (RBS)
• Definitions of risk probability and impact The quality and credibility of the risk analysis requires that
different levels of risk probability and impact be defined that are specific to the project context General
definitions of probability levels and impact levels are tailored to the individual project during the Plan
Risk Management process for use in subsequent processes Table 111 is an example of definitions of
negative impacts that could be used in evaluating risk impacts related to four project objectives (Similar
tables may be established with a positive impact perspective) Table 111 illustrates both relative and
numerical (in this case nonlinear) approaches318 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
Table 111 Definition of Impact Scales for Four Project Objectives
•
Defined Conditions for Impact Scales of a Risk on Major Project Objectives
(Examples are shown for negative impacts only)
Relative or numerical scales are shown
This table presents examples of risk impact definitions for four different project objectives They should be tailored in the
Risk Management Planning process to the individual project and to the organization＇s risk thresholds Impact definitions can be
developed for opportunities in a similar way
Project
Objective
Cost
Time
Scope
Quality
Very low 005 Low 010 Moderate 020 High 040 Very high 080
Insignificant cost
increase
Insignificant time
increase
Scope decrease
barely noticeable
Quality degradation
barely noticeable
< 10 cost
increase
< 5 time
increase
Minor areas of
scope affected
Only very demanding
applications
are affected
10 – 20 cost
increase
5 – 10 time
increase
Major areas of
scope affected
Quality reduction
requires sponsor
approval
20 – 40 cost
increase
10 – 20 time
increase
Scope reduction
unacceptable to
sponsor
Quality reduction
unacceptable to
sponsor
> 40 cost
increase
> 20 time
increase
Project end item
is effectively
useless
Project end item
is effectively
useless
Probability and impact matrix A probability and impact matrix is a grid for mapping the probability
of each risk occurrence and its impact on project objectives if that risk occurs Risks are prioritized
according to their potential implications for having an effect on the project’s objectives A typical
approach to prioritizing risks is to use a lookup table or a probability and impact matrix The specific
combinations of probability and impact that lead to a risk being rated as high moderate or low
importance are usually set by the organization
• Revised stakeholders’ tolerances Stakeholders’ tolerances as they apply to the specific project may
be revised in the Plan Risk Management process
• Reporting formats Reporting formats define how the outcomes of the risk management process will
be documented analyzed and communicated It describes the content and format of the risk register as
well as any other risk reports required
• Tracking Tracking documents how risk activities will be recorded for the benefit of the current project
and how risk management processes will be audited319©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
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112 Identify Risks
Identify Risks is the process of determining which risks may affect the project and documenting their
characteristics The key benefit of this process is the documentation of existing risks and the knowledge and ability
it provides to the project team to anticipate events The inputs tools and techniques and outputs of this process
are depicted in Figure 115 Figure 116 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Risk management plan
2 Cost management plan
3 Schedule management
plan
4 Quality management plan
5 Human resource
management plan
6 Scope baseline
7 Activity cost estimates
8 Activity duration
estimates
9 Stakeholder register
10 Project documents
11 Procurement documents
12 Enterprise environmental
factors
13 Organizational process
assets
1 Documentation reviews
2 Information gathering
techniques
3 Checklist analysis
4 Assumptions analysis
5 Diagramming techniques
6 SWOT analysis
7 Expert judgment
1 Risk register
Figure 115 Identify Risks Inputs Tools & Techniques and Outputs320 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
• Risk management plan
• Risk register
• Scope baseline
• Schedule management plan
• Activity duration estimates
• Cost management plan
• Activity cost estimates
• Quality management plan
• Human resource
management plan
• Procurement documents
• Stakeholder register
Project Risk Management
• Organizational process assets
• Enterprise environmental
factors
72
Estimate
Costs
81
Plan Quality
Management
121
Plan
Procurement
Management
Project
Documents
54
Create WBS
71
Project Cost
Management
81
Plan Quality
Management
65
Estimate
Activity Durations
61
Plan Schedule
Management
121
Plan Procurement
Management
131
Identify
Stakeholders
91
Plan Human
Resource
Management
Enterprise
Organization
112
Identify
Risks
113
Perform
Qualitative
Risk Analysis
115
Plan Risk
Responses
114
Perform
Quantitative
Risk Analysis
116
Control
Risks
111
Plan Risk
Management
72
Estimate Costs
Figure 116 Identify Risks Data Flow Diagram321©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11
Participants in risk identification activities may include the following project manager project team members
risk management team (if assigned) customers subject matter experts from outside the project team end
users other project managers stakeholders and risk management experts While these personnel are often key
participants for risk identification all project personnel should be encouraged to identify potential risks
Identify risks is an iterative process because new risks may evolve or become known as the project progresses
through its life cycle The frequency of iteration and participation in each cycle will vary by situation The format of
the risk statements should be consistent to ensure that each risk is understood clearly and unambiguously in order
to support effective analysis and response development The risk statement should support the ability to compare
the relative effect of one risk against others on the project The process should involve the project team so they can
develop and maintain a sense of ownership and responsibility for the risks and associated risk response actions
Stakeholders outside the project team may provide additional objective information
1121 Identify Risks Inputs
11211 Risk Management Plan
Described in Section 11131 Key elements of the risk management plan that contribute to the Identify Risks
process are the assignments of roles and responsibilities provision for risk management activities in the budget
and schedule and categories of risk which are sometimes expressed as a risk breakdown structure (Figure 114)
11212 Cost Management Plan
Described in Section 7131 The cost management plan provides processes and controls that can be used to
help identify risks across the project
11213 Schedule Management Plan
Described in Section 6131 The schedule management plan provides insight to project timeschedule
objectives and expectations which may be impacted by risks (known and unknown)
11214 Quality Management Plan
Described in Section 8131 The quality management plan provides a baseline of quality measures and metrics
for use in identifying risks322 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11215 Human Resource Management Plan
Described in Section 9131 The human resource management plan provides guidance on how project human
resources should be defined staffed managed and eventually released It can also contain roles and responsibilities
project organization charts and the staffing management plan which form a key input to identify risk process
11216 Scope Baseline
Described in Section 5431 Project assumptions are found in the project scope statement Uncertainty in
project assumptions should be evaluated as potential causes of project risk
The WBS is a critical input to identifying risks as it facilitates an understanding of the potential risks at both
the micro and macro levels Risks can be identified and subsequently tracked at summary control account andor
work package levels
11217 Activity Cost Estimates
Described in Section 7231 Activity cost estimate reviews are useful in identifying risks as they provide a
quantitative assessment of the likely cost to complete scheduled activities and ideally are expressed as a range
with the width of the range indicating the degree(s) of risk The review may result in projections indicating the
estimate is either sufficient or insufficient to complete the activity (ie pose a risk to the project)
11218 Activity Duration Estimates
Described in Section 6531 Activity duration estimate reviews are useful in identifying risks related to the time
allowances for the activities or project as a whole again with the width of the range of such estimates indicating
the relative degree(s) of risk
11219 Stakeholder Register
Described in Section 13131 Information about the stakeholders is useful for soliciting inputs to identify risks
as this will ensure that key stakeholders especially the stakeholder sponsor and customer are interviewed or
otherwise participate during the Identify Risks process323©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
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112110 Project Documents
Project documents provide the project team with information about decisions that help better identify project
risks Project documents improve crossteam and stakeholder communications and include but are not limited to
• Project charter
• Project schedule
• Schedule network diagrams
• Issue log
• Quality checklist and
• Other information proven to be valuable in identifying risks
112111 Procurement Documents
Defined in Section 12133 If the project requires external procurement of resources procurement
documents become a key input to the Identify Risks process The complexity and the level of detail of the
procurement documents should be consistent with the value of and risks associated with planned procurement
112112 Enterprise Environmental Factors
Described in Section 215 Enterprise environmental factors that can influence the Identify Risks process
include but are not limited to
• Published information including commercial databases
• Academic studies
• Published checklists
• Benchmarking
• Industry studies and
• Risk attitudes324 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
112113 Organizational Process Assets
Described in Section 214 Organizational process assets that can influence the Identify Risks process include
but are not limited to
• Project files including actual data
• Organizational and project process controls
• Risk statement formats or templates and
• Lessons learned
1122 Identify Risks Tools and Techniques
11221 Documentation Reviews
A structured review of the project documentation may be performed including plans assumptions previous
project files agreements and other information The quality of the plans as well as consistency between those
plans and the project requirements and assumptions may be indicators of risk in the project
11222 Information Gathering Techniques
Examples of information gathering techniques used in identifying risks can include
• Brainstorming The goal of brainstorming is to obtain a comprehensive list of project risks The project
team usually performs brainstorming often with a multidisciplinary set of experts who are not part of the
team Ideas about project risk are generated under the leadership of a facilitator either in a traditional
freeform brainstorm session or structured mass interviewing techniques Categories of risk such as in a
risk breakdown structure can be used as a framework Risks are then identified and categorized by type
of risk and their definitions are refined
• Delphi technique The Delphi technique is a way to reach a consensus of experts Project risk experts
participate in this technique anonymously A facilitator uses a questionnaire to solicit ideas about the
important project risks The responses are summarized and are then recirculated to the experts for
further comment Consensus may be reached in a few rounds of this process The Delphi technique helps
reduce bias in the data and keeps any one person from having undue influence on the outcome325©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11
• Interviewing Interviewing experienced project participants stakeholders and subject matter experts
helps to identify risks
• Root cause analysis Rootcause analysis is a specific technique used to identify a problem discover
the underlying causes that lead to it and develop preventive action
11223 Checklist Analysis
Risk identification checklists are developed based on historical information and knowledge that has been
accumulated from previous similar projects and from other sources of information The lowest level of the RBS
can also be used as a risk checklist While a checklist may be quick and simple it is impossible to build an
exhaustive one and care should be taken to ensure the checklist is not used to avoid the effort of proper risk
identification The team should also explore items that do not appear on the checklist Additionally the checklist
should be pruned from time to time to remove or archive related items The checklist should be reviewed during
project closure to incorporate new lessons learned and improve it for use on future projects
11224 Assumptions Analysis
Every project and its plan is conceived and developed based on a set of hypotheses scenarios or assumptions
Assumptions analysis explores the validity of assumptions as they apply to the project It identifies risks to the
project from inaccuracy instability inconsistency or incompleteness of assumptions
11225 Diagramming Techniques
Risk diagramming techniques may include
• Cause and effect diagrams These are also known as Ishikawa or fishbone diagrams and are useful for
identifying causes of risks
• System or process flow charts These show how various elements of a system interrelate and the
mechanism of causation
• Influence diagrams These are graphical representations of situations showing causal influences time
ordering of events and other relationships among variables and outcomes as shown in Figure 117326 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
Project
Activity
Project
Estimates
Deliverables
Risk
Condition
Figure 117 Influence Diagram
11226 SWOT Analysis
This technique examines the project from each of the strengths weaknesses opportunities and threats (SWOT)
perspectives to increase the breadth of identified risks by including internally generated risks The technique starts
with identification of strengths and weaknesses of the organization focusing on either the project organization
or the business area in general SWOT analysis then identifies any opportunities for the project that arise from
organizational strengths and any threats arising from organizational weaknesses The analysis also examines
the degree to which organizational strengths offset threats as well as identifying opportunities that may serve to
overcome weaknesses327©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
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11227 Expert Judgment
Risks may be identified directly by experts with relevant experience with similar projects or business areas
Such experts should be identified by the project manager and invited to consider all aspects of the project and
suggest possible risks based on their previous experience and areas of expertise The experts’ bias should be taken
into account in this process
1123 Identify Risks Outputs
11231 Risk Register
The primary output from Identify Risks is the initial entry into the risk register The risk register is a document
in which the results of risk analysis and risk response planning are recorded It contains the outcomes of the other
risk management processes as they are conducted resulting in an increase in the level and type of information
contained in the risk register over time The preparation of the risk register begins in the Identify Risks process
with the following information and then becomes available to other project management and risk management
processes
• List of identified risks The identified risks are described in as much detail as is reasonable A
structure for describing risks using risk statements may be applied for example EVENT may occur
causing IMPACT or If CAUSE exists EVENT may occur leading to EFFECT In addition to the list of
identified risks the root causes of those risks may become more evident These are the fundamental
conditions or events that may give rise to one or more identified risks They should be recorded and
used to support future risk identification for this and other projects
• List of potential responses Potential responses to a risk may sometimes be identified during the Identify
Risks process These responses if identified in this process should be used as inputs to the Plan Risk
Responses process328 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
113 Perform Qualitative Risk Analysis
Perform Qualitative Risk Analysis is the process of prioritizing risks for further analysis or action by assessing
and combining their probability of occurrence and impact The key benefit of this process is that it enables project
managers to reduce the level of uncertainty and to focus on highpriority risks The inputs tools and techniques
and outputs of this process are depicted in Figure 118 Figure 119 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Risk management plan
2 Scope baseline
3 Risk register
4 Enterprise environmental
factors
5 Organizational process
assets
1 Risk probability and
impact assessment
2 Probability and impact
matrix
3 Risk data quality
assessment
4 Risk categorization
5 Risk urgency assessment
6 Expert judgment
1 Project documents
updates
Figure 118 Perform Qualitative Risk Analysis Inputs Tools & Techniques and Outputs
Project Risk Management
113
Perform
Qualitative
Risk Analysis
111
Plan Risk
Management
112
Identify
Risks
• Project documents
updates
• Risk register• Risk management
plan
• Enterprise
environmental
factors
• Organizational
process assets
• Scope baseline
54
Create
WBS
Enterprise
Organization
Project
Documents
Figure 119 Perform Qualitative Risk Analysis Data Flow Diagram329©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
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Perform Qualitative Risk Analysis assesses the priority of identified risks using their relative probability or
likelihood of occurrence the corresponding impact on project objectives if the risks occur as well as other
factors such as the time frame for response and the organization’s risk tolerance associated with the project
constraints of cost schedule scope and quality Such assessments reflect the risk attitude of the project
team and other stakeholders Effective assessment therefore requires explicit identification and management
of the risk approaches of key participants in the Perform Qualitative Risk Analysis process Where these risk
approaches introduce bias into the assessment of identified risks attention should be paid to identifying bias
and correcting for it
Establishing definitions of the levels of probability and impact can reduce the influence of bias The time
criticality of riskrelated actions may magnify the importance of a risk An evaluation of the quality of the
available information on project risks also helps to clarify the assessment of the risk’s importance to the project
Perform Qualitative Risk Analysis is usually a rapid and costeffective means of establishing priorities for Plan
Risk Responses and lays the foundation for Perform Quantitative Risk Analysis if required The Perform Qualitative
Risk Analysis process is performed regularly throughout the project life cycle as defined in the project’s risk
management plan This process can lead into Perform Quantitative Risk Analysis (Section 114) or directly into Plan
Risk Responses (Section 115)
1131 Perform Qualitative Risk Analysis Inputs
11311 Risk Management Plan
Described in Section 11131 Key elements of the risk management plan used in the Perform Qualitative Risk
Analysis process include roles and responsibilities for conducting risk management budgets schedule activities
for risk management risk categories definitions of probability and impact the probability and impact matrix
and revised stakeholders’ risk tolerances These inputs are usually tailored to the project during the Plan Risk
Management process If they are not available they may be developed during the Perform Qualitative Risk Analysis
process
11312 Scope Baseline
Described in Section 5431 Projects of a common or recurrent type tend to have more wellunderstood risks
Projects using stateoftheart or firstofitskind technology and highly complex projects tend to have more
uncertainty This can be evaluated by examining the scope baseline330 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11313 Risk Register
Described in Section 11231 The risk register contains the information that will be used to assess and prioritize
risks
11314 Enterprise Environmental Factors
Described in Section 215 Enterprise environmental factors may provide insight and context to the risk
assessment such as
• Industry studies of similar projects by risk specialists and
• Risk databases that may be available from industry or proprietary sources
11315 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Perform Qualitative Risk
Analysis process include information on prior similar completed projects
1132 Perform Qualitative Risk Analysis Tools and Techniques
11321 Risk Probability and Impact Assessment
Risk probability assessment investigates the likelihood that each specific risk will occur Risk impact
assessment investigates the potential effect on a project objective such as schedule cost quality or performance
including both negative effects for threats and positive effects for opportunities
Probability and impact are assessed for each identified risk Risks can be assessed in interviews or meetings
with participants selected for their familiarity with the risk categories on the agenda Project team members and
knowledgeable persons external to the project are included
The level of probability for each risk and its impact on each objective is evaluated during the interview or meeting
Explanatory detail including assumptions justifying the levels assigned are also recorded Risk probabilities
and impacts are rated according to the definitions given in the risk management plan Risks with low ratings of
probability and impact will be included within the risk register as part of the watch list for future monitoring331©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
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11322 Probability and Impact Matrix
Risks can be prioritized for further quantitative analysis and planning risk responses based on their risk rating
Ratings are assigned to risks based on their assessed probability and impact Evaluation of each risk’s importance
and priority for attention is typically conducted using a lookup table or a probability and impact matrix Such a
matrix specifies combinations of probability and impact that lead to rating the risks as low moderate or high
priority Descriptive terms or numeric values can be used depending on organizational preference
Each risk is rated on its probability of occurrence and impact on an objective if it does occur The organization
should determine which combinations of probability and impact result in a classification of high risk moderate risk
and low risk In a blackandwhite matrix these conditions are denoted using different shades of gray Specifically
in Figure 1110 the dark gray area (with the largest numbers) represents high risk the medium gray area (with
the smallest numbers) represents low risk and the light gray area (with inbetween numbers) represents moderate
risk Usually these riskrating rules are specified by the organization in advance of the project and included in
organizational process assets Risk rating rules can be tailored in the Plan Risk Management process to the specific
project
Probability and Impact Matrix
Probability
090
070
050
030
010
005
004
003
002
001
005
Very Low
009
007
005
003
001
010
Low
018
014
010
006
002
020
Moderate
036
028
020
012
004
040
High
072
056
040
024
008
080
Very High
Impact (numerical scale) on an objective (eg cost time scope or quality)
Each risk is rated on its probability of occurring and impact on an objective if it does occur The organization＇s
thresholds for low moderate or high risks are shown in the matrix and determine whether the risk is scored
as high moderate or low for that objective
Threats
005
004
003
002
001
005
Very Low
009
007
005
003
001
010
Low
018
014
010
006
002
020
Moderate
036
028
020
012
004
040
High
072
056
040
024
008
080
Very High
Opportunities
Figure 1110 Probability and Impact Matrix332 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
As illustrated in Figure 1110 an organization can rate a risk separately for each objective (eg cost time
and scope) In addition it may develop ways to determine one overall rating for each risk Finally opportunities
and threats are handled in the same matrix using definitions of the different levels of impact that are appropriate
for each
The risk score helps guide risk responses For example risks that have a negative impact on objectives
otherwise known as threats if they occur and that are in the highrisk (dark gray) zone of the matrix may require
priority action and aggressive response strategies Threats found in the lowrisk (medium gray) zone may not
require proactive management action beyond being placed in the risk register as part of the watch list or adding
a contingency reserve Similarly for opportunities those in the highrisk (dark gray) zone which may be obtained
most easily and offer the greatest benefit should be targeted first Opportunities in the lowrisk (medium gray) zone
should be monitored
11323 Risk Data Quality Assessment
Risk data quality assessment is a technique to evaluate the degree to which the data about risks is useful
for risk management It involves examining the degree to which the risk is understood and the accuracy quality
reliability and integrity of the data about the risk
The use of lowquality risk data may lead to a qualitative risk analysis of little use to the project If data quality is
unacceptable it may be necessary to gather better data Often the collection of information about risks is difficult
and consumes more time and resources than originally planned The values used in the example in Figure 1110
are representative The numbers of steps in the scale are usually established when defining the risk attitude of the
organization
11324 Risk Categorization
Risks to the project can be categorized by sources of risk (eg using the RBS) the area of the project affected
(eg using the WBS) or other useful categories (eg project phase) to determine the areas of the project most
exposed to the effects of uncertainty Risks can also be categorized by common root causes This technique helps
determine work packages activities project phases or even roles in the project which can lead to the development
of effective risk responses333©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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11325 Risk Urgency Assessment
Risks requiring nearterm responses may be considered more urgent to address Indicators of priority may
include probability of detecting the risk time to affect a risk response symptoms and warning signs and the
risk rating In some qualitative analyses the assessment of risk urgency is combined with the risk ranking that is
determined from the probability and impact matrix to give a final risk severity rating
11326 Expert Judgment
Expert judgment is required to assess the probability and impact of each risk to determine its location in
the matrix shown in Figure 1110 Experts generally are those having experience with similar recent projects
Gathering expert judgment is often accomplished with the use of risk facilitation workshops or interviews The
experts’ bias should be taken into account in this process
1133 Perform Qualitative Risk Analysis Outputs
11331 Project Documents Updates
Project documents that may be updated include but are not limited to
• Risk register updates As new information becomes available through the qualitative risk
assessment the risk register is updated Updates to the risk register may include assessments
of probability and impacts for each risk risk ranking or scores risk urgency information or risk
categorization and a watch list for low probability risks or risks requiring further analysis
• Assumptions log updates As new information becomes available through the qualitative risk
assessment assumptions could change The assumptions log needs to be revisited to accommodate
this new information Assumptions may be incorporated into the project scope statement or in a
separate assumptions log
114 Perform Quantitative Risk Analysis
Perform Quantitative Risk Analysis is the process of numerically analyzing the effect of identified risks on overall
project objectives The key benefit of this process is that it produces quantitative risk information to support decision
making in order to reduce project uncertainty The inputs tools and techniques and outputs of this process are
depicted in Figure 1111 Figure 1112 depicts the data flow diagram of the process334 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
Inputs Tools & Techniques Outputs
1 Risk management plan
2 Cost management plan
3 Schedule management
plan
4 Risk register
5 Enterprise environmental
factors
6 Organizational process
assets
1 Data gathering and
representation
techniques
2 Quantitative risk analysis
and modeling techniques
3 Expert judgment
1 Project documents
updates
Figure 1111 Perform Quantitative Risk Analysis Inputs Tools & Techniques and Outputs
Project Risk Management
114
Perform
Quantitative
Risk Analysis
111
Plan Risk
Management
112
Identify
Risks
• Project documents
updates
• Risk register• Risk management
plan
• Organizational
process assets
• Enterprise
environmental
factors
• Cost management plan
71
Plan Cost
Management • Schedule
management plan
61
Plan Schedule
Management
Enterprise
Organization
Project
Documents
Figure 1112 Perform Quantitative Risk Analysis Data Flow Diagram
Perform Quantitative Risk Analysis is performed on risks that have been prioritized by the Perform Qualitative
Risk Analysis process as potentially and substantially impacting the project’s competing demands The Perform
Quantitative Risk Analysis process analyzes the effect of those risks on project objectives It is used mostly to
evaluate the aggregate effect of all risks affecting the project When the risks drive the quantitative analysis the
process may be used to assign a numerical priority rating to those risks individually335©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Perform Quantitative Risk Analysis generally follows the Perform Qualitative Risk Analysis process In some
cases it may not be possible to execute the Perform Quantitative Risk Analysis process due to lack of sufficient
data to develop appropriate models The project manager should exercise expert judgment to determine the need
for and the viability of quantitative risk analysis The availability of time and budget and the need for qualitative or
quantitative statements about risk and impacts will determine which method(s) to use on any particular project
Perform Quantitative Risk Analysis should be repeated as needed as part of the Control Risks process to determine
if the overall project risk has been satisfactorily decreased Trends may indicate the need for more or less focus on
appropriate risk management activities
1141 Perform Quantitative Risk Analysis Inputs
11411 Risk Management Plan
Described in Section 11131 The risk management plan provides guidelines methods and tools to be used in
quantitative risk analysis
11412 Cost Management Plan
Described in Section 7131 The cost management plan provides guidelines on establishing and managing risk
reserves
11413 Schedule Management Plan
Described in Section 6131 The schedule management plan provides guidelines on establishing and managing
risk reserves
11414 Risk Register
Described in Section 11231 The risk register is used as a reference point for performing quantitative risk
analysis
11415 Enterprise Environmental Factors
Described in Section 215 Enterprise environmental factors may provide insight and context to the risk analysis
such as
• Industry studies of similar projects by risk specialists and
• Risk databases that may be available from industry or proprietary sources336 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11416 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Perform Quantitative Risk
Analysis process include information from prior similar completed projects
1142 Perform Quantitative Risk Analysis Tools and Techniques
11421 Data Gathering and Representation Techniques
• Interviewing Interviewing techniques draw on experience and historical data to quantify the probability
and impact of risks on project objectives The information needed depends upon the type of probability
distributions that will be used For instance information would be gathered on the optimistic (low)
pessimistic (high) and most likely scenarios for some commonly used distributions Examples of three
point estimates for cost are shown in Figure 1113 Additional information on threepoint estimates
appears in Estimate Activity Durations (Section 65) and Estimate Costs (Section 72) Documenting the
rationale of the risk ranges and the assumptions behind them are important components of the risk
interview because they can provide insight on the reliability and credibility of the analysis
Range of Project Cost Estimates
WBS Element
Design
Build
Test
Total Project
4M
16M
11M
31M
6M
20M
15M
41M
10M
35M
23M
68M
Interviewing relevant stakeholders helps determine the threepoint estimates for each WBS
element for triangular beta or other distributions In this example the likelihood of completing
the project at or below the most likely estimate of 41 million is relatively small as shown in
the simulation results in Figure 1117 (Cost Risk Simulation Results)
Low Most Likely High
Figure 1113 Range of Project Cost Estimates Collected During the Risk Interview337©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Probability distributions Continuous probability distributions which are used extensively in modeling
and simulation represent the uncertainty in values such as durations of schedule activities and costs
of project components Discrete distributions can be used to represent uncertain events such as the
outcome of a test or a possible scenario in a decision tree Two examples of widely used continuous
distributions are shown in Figure 1114 These distributions depict shapes that are compatible with the
data typically developed during the quantitative risk analysis Uniform distributions can be used if there
is no obvious value that is more likely than any other between specified high and low bounds such as in
the early concept stage of design
Beta and triangular distributions are frequently used in quantitative risk analysis The data shown in the figure
on the left (Beta Distribution) is one example of a family of such distributions determined by two shape
parameters Other commonly used distributions include the uniform normal and lognormal In these charts
the horizontal (X) axes represent possible values of time or cost and the vertical (Y) axes represent relative
likelihood
Beta Distribution Triangular Distribution
01
00
01
00
Figure 1114 Examples of Commonly Used Probability Distributions338 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11422 Quantitative Risk Analysis and Modeling Techniques
Commonly used techniques use both eventoriented and projectoriented analysis approaches including
• Sensitivity analysis Sensitivity analysis helps to determine which risks have the most potential
impact on the project It helps to understand how the variations in project’s objectives correlate with
variations in different uncertainties Conversely it examines the extent to which the uncertainty of
each project element affects the objective being studied when all other uncertain elements are held at
their baseline values One typical display of sensitivity analysis is the tornado diagram (Figure 1115)
which is useful for comparing relative importance and impact of variables that have a high degree of
uncertainty to those that are more stable The Tornado diagram is also helpful in analyzing risktaking
scenarios enabled on specific risks whose quantitative analysis highlights possible benefits greater
than corresponding identified negative impacts A tornado diagram is a special type of bar chart used
in sensitivity analysis for comparing the relative importance of the variables In a tornado diagram
the Yaxis contains each type of uncertainty at base values and the Xaxis contains the spread or
correlation of the uncertainty to the studied output In this figure each uncertainty contains a horizontal
bar and is ordered vertically to show uncertainties with a decreasing spread from the base values
Risk 1
Risk 2
Risk 3
Risk 4
Risk 5
Risk 6
Negative Impact
Positive Impact
KEY
15000 10000 5000 0 5000 10000 15000 20000
Figure 1115 Example of Tornado Diagram339©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Expected monetary value analysis Expected monetary value (EMV) analysis is a statistical concept
that calculates the average outcome when the future includes scenarios that may or may not happen
(ie analysis under uncertainty) The EMV of opportunities are generally expressed as positive values
while those of threats are expressed as negative values EMV requires a riskneutral assumption—
neither risk averse nor risk seeking EMV for a project is calculated by multiplying the value of each
possible outcome by its probability of occurrence and adding the products together A common use of
this type of analysis is a decision tree analysis (Figure 1116)
Computed
Payoffs minus Costs
along Path
Decision Definition Decision Node Chance Node Net Path Value
Decision to
be Made
Input Cost of Each Decision
Output Decision Made
Input Scenario Probability
Reward if it Occurs
Output Expected Monetary
Value (EMV)
Build or Upgrade
80M
60
40
60
40
30M36M 60 (80M) +
40 (–30M)
EMV (before costs) of Build
New Plant considering demand
46M 60 (70M) +
40 (10M)
EMV (before costs) of Upgrade
Plant considering demand
Decision EMV 46M
(the larger of 36M
and 46M)
80M 200M – 120M
–30M 90M – 120M
70M 120M – 50M
10M 60M – 50M
70M
10M
Note 1 The decision tree shows how to make a decision between alternative capital strategies (represented as decision
nodes) when the environment contains uncertain elements (represented as chance nodes)
Note 2 Here a decision is being made whether to invest 120M US to build a new plant or to instead invest only 50M US
to upgrade the existing plant For each decision the demand (which is uncertain and therefore represents a
chance node) must be accounted for For example strong demand leads to 200M revenue with the new plant
but only 120M US for the upgraded plant perhaps due to capacity limitations of the upgraded plant The end of
each branch shows the net effect of the payoffs minus costs For each decision branch all effects are added (see
shaded areas) to determine the overall Expected Monetary Value (EMV) of the decision Remember to account for
the investment costs From the calculations in the shaded areas the upgraded plant has a higher EMV of 46M –
also the EMV of the overall decision (This choice also represents the lowest risk avoiding the worst case possible
outcome of a loss of 30M)
Decision Node
Chance Node
End of Branch
Strong Demand
(200M)
Weak Demand
(90M)
Strong Demand
(120M)
Weak Demand
(60M)
Build New Plant
(Invest 120M)
Upgrade Plant
(Invest 50M)
Figure 1116 Decision Tree Diagram340 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
• Modeling and simulation A project simulation uses a model that translates the specified detailed
uncertainties of the project into their potential impact on project objectives Simulations are typically
performed using the Monte Carlo technique In a simulation the project model is computed many times
(iterated) with the input values (eg cost estimates or activity durations) chosen at random for each
iteration from the probability distributions of these variables A histogram (eg total cost or completion
date) is calculated from the iterations For a cost risk analysis a simulation uses cost estimates For a
schedule risk analysis the schedule network diagram and duration estimates are used The output from a
cost risk simulation using the threeelement model and risk ranges is shown in Figure 1117 It illustrates
the respective probability of achieving specific cost targets Similar curves can be developed for other
project objectives
This cumulative distribution assuming the data ranges in Figure 1113 and triangular distributions shows that the
project is only 12 percent likely to meet the 41 million most likely cost estimate If a conservative organization wants
a 75 likelihood of success a budget of 50 million (a contingency of nearly 22 (50M 41M)41M)) is required
Total Project Cost
Cumulative Chart
Cost
100
75
50
25
0
Probability
3000M 3875M 4750M 5625M 6500M
12
Mean 4667M
41M 50M
Figure 1117 Cost Risk Simulation Results341©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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11423 Expert Judgment
Expert judgment (ideally using experts with relevant recent experience) is required to identify potential cost
and schedule impacts to evaluate probability and to define inputs such as probability distributions into the tools
Expert judgment also comes into play in the interpretation of the data Experts should be able to identify the
weaknesses of the tools as well as their strengths Experts may determine when a specific tool may or may not be
more appropriate given the organization’s capabilities and culture
1143 Perform Quantitative Risk Analysis Outputs
11431 Project Documents Updates
Project documents are updated with information resulting from quantitative risk analysis For example risk
register updates could include
• Probabilistic analysis of the project Estimates are made of potential project schedule and cost
outcomes listing the possible completion dates and costs with their associated confidence levels
This output often expressed as a cumulative frequency distribution is used with stakeholder risk
tolerances to permit quantification of the cost and time contingency reserves Such contingency
reserves are needed to bring the risk of overrunning stated project objectives to a level acceptable to
the organization
• Probability of achieving cost and time objectives With the risks facing the project the probability
of achieving project objectives under the current plan can be estimated using quantitative risk analysis
results For instance in Figure 1117 the likelihood of achieving the cost estimate of US41 million is
about 12
• Prioritized list of quantified risks This list includes those risks that pose the greatest threat or present
the greatest opportunity to the project These include the risks that may have the greatest effect on cost
contingency and those that are most likely to influence the critical path These risks may be evaluated in
some cases through a tornado diagram generated as a result of the simulation analysis
• Trends in quantitative risk analysis results As the analysis is repeated a trend may become apparent
that leads to conclusions affecting risk responses Organizational historical information on project schedule
cost quality and performance should reflect new insights gained through the Perform Quantitative Risk
Analysis process Such history may take the form of a quantitative risk analysis report This report may
be separate from or linked to the risk register342 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
115 Plan Risk Responses
Plan Risk Responses is the process of developing options and actions to enhance opportunities and to reduce
threats to project objectives The key benefit of this process is that it addresses the risks by their priority inserting
resources and activities into the budget schedule and project management plan as needed The inputs tools and
techniques and outputs of this process are depicted in Figure 1118 Figure 1119 depicts the data flow diagram
of the process
Inputs Tools & Techniques Outputs
1 Risk management plan
2 Risk register
1 Strategies for negative
risks or threats
2 Strategies for positive
risks or opportunities
3 Contingent response
strategies
4 Expert judgment
1 Project management plan
updates
2 Project documents
updates
Figure 1118 Plan Risk Responses Inputs Tools & Techniques and Outputs
Project Risk Management
115
Plan Risk
Responses
111
Plan Risk
Management
112
Identify
Risks
• Project management
plan updates
• Project documents
updates
• Risk register• Risk management
plan
42
Develop Project
Management
Plan
Project
Documents
Figure 1119 Plan Risk Responses Data Flow Diagram343©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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The Plan Risk Responses process follows the Perform Quantitative Risk Analysis process (if used) Each risk
response requires an understanding of the mechanism by which it will address the risk This is the mechanism
used to analyze if the risk response plan is having the desired effect It includes the identification and assignment
of one person (an owner for risk response) to take responsibility for each agreedto and funded risk response Risk
responses should be appropriate for the significance of the risk costeffective in meeting the challenge realistic
within the project context agreed upon by all parties involved and owned by a responsible person Selecting the
optimum risk response from several options is often required
The Plan Risk Responses process presents commonly used approaches to planning responses to the risks
Risks include threats and opportunities that can affect project success and responses are discussed for each
1151 Plan Risk Responses Inputs
11511 Risk Management Plan
Important components of the risk management plan include roles and responsibilities risk analysis definitions
timing for reviews (and for eliminating risks from review) and risk thresholds for low moderate and high risks Risk
thresholds help identify those risks for which specific responses are needed
11512 Risk Register
The risk register refers to identified risks root causes of risks lists of potential responses risk owners symptoms
and warning signs the relative rating or priority list of project risks risks requiring responses in the near term risks
for additional analysis and response trends in qualitative analysis results and a watch list which is a list of low
priority risks within the risk register
1152 Plan Risk Responses Tools and Techniques
Several risk response strategies are available The strategy or mix of strategies most likely to be effective
should be selected for each risk Risk analysis tools such as decision tree analysis (Section 11422) can be
used to choose the most appropriate responses Specific actions are developed to implement that strategy
including primary and backup strategies as necessary A fallback plan can be developed for implementation
if the selected strategy turns out not to be fully effective or if an accepted risk occurs Secondary risks should
also be reviewed Secondary risks are risks that arise as a direct result of implementing a risk response A
contingency reserve is often allocated for time or cost If developed it may include identification of the conditions
that trigger its use344 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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11521 Strategies for Negative Risks or Threats
Three strategies which typically deal with threats or risks that may have negative impacts on project objectives
if they occur are avoid transfer and mitigate The fourth strategy accept can be used for negative risks or threats
as well as positive risks or opportunities Each of these risk response strategies have varied and unique influence
on the risk condition These strategies should be chosen to match the risk’s probability and impact on the project’s
overall objectives Avoidance and mitigation strategies are usually good strategies for critical risks with high impact
while transference and acceptance are usually good strategies for threats that are less critical and with low overall
impact The four strategies for dealing with negative risks or threats are further described as follows
• Avoid Risk avoidance is a risk response strategy whereby the project team acts to eliminate the threat or
protect the project from its impact It usually involves changing the project management plan to eliminate
the threat entirely The project manager may also isolate the project objectives from the risk’s impact or
change the objective that is in jeopardy Examples of this include extending the schedule changing the
strategy or reducing scope The most radical avoidance strategy is to shut down the project entirely
Some risks that arise early in the project can be avoided by clarifying requirements obtaining information
improving communication or acquiring expertise
• Transfer Risk transference is a risk response strategy whereby the project team shifts the impact of
a threat to a third party together with ownership of the response Transferring the risk simply gives
another party responsibility for its management—it does not eliminate it Transferring does not mean
disowning the risk by transferring it to a later project or another person without his or her knowledge or
agreement Risk transference nearly always involves payment of a risk premium to the party taking on
the risk Transferring liability for risk is most effective in dealing with financial risk exposure Transference
tools can be quite diverse and include but are not limited to the use of insurance performance bonds
warranties guarantees etc Contracts or agreements may be used to transfer liability for specified risks
to another party For example when a buyer has capabilities that the seller does not possess it may be
prudent to transfer some work and its concurrent risk contractually back to the buyer In many cases use
of a costplus contract may transfer the cost risk to the buyer while a fixedprice contract may transfer
risk to the seller345©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Mitigate Risk mitigation is a risk response strategy whereby the project team acts to reduce the
probability of occurrence or impact of a risk It implies a reduction in the probability andor impact of an
adverse risk to be within acceptable threshold limits Taking early action to reduce the probability andor
impact of a risk occurring on the project is often more effective than trying to repair the damage after the
risk has occurred Adopting less complex processes conducting more tests or choosing a more stable
supplier are examples of mitigation actions Mitigation may require prototype development to reduce the
risk of scaling up from a benchscale model of a process or product Where it is not possible to reduce
probability a mitigation response might address the risk impact by targeting linkages that determine the
severity For example designing redundancy into a system may reduce the impact from a failure of the
original component
• Accept Risk acceptance is a risk response strategy whereby the project team decides to acknowledge
the risk and not take any action unless the risk occurs This strategy is adopted where it is not possible
or costeffective to address a specific risk in any other way This strategy indicates that the project
team has decided not to change the project management plan to deal with a risk or is unable to identify
any other suitable response strategy This strategy can be either passive or active Passive acceptance
requires no action except to document the strategy leaving the project team to deal with the risks as
they occur and to periodically review the threat to ensure that it does not change significantly The
most common active acceptance strategy is to establish a contingency reserve including amounts of
time money or resources to handle the risks
11522 Strategies for Positive Risks or Opportunities
Three of the four responses are suggested to deal with risks with potentially positive impacts on project objectives
The fourth strategy accept can be used for negative risks or threats as well as positive risks or opportunities These
strategies described below are to exploit share enhance and accept
• Exploit The exploit strategy may be selected for risks with positive impacts where the organization wishes
to ensure that the opportunity is realized This strategy seeks to eliminate the uncertainty associated with
a particular upside risk by ensuring the opportunity definitely happens Examples of directly exploiting
responses include assigning an organization’s most talented resources to the project to reduce the time
to completion or using new technologies or technology upgrades to reduce cost and duration required to
realize project objectives346 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
• Enhance The enhance strategy is used to increase the probability andor the positive impacts of an
opportunity Identifying and maximizing key drivers of these positiveimpact risks may increase the
probability of their occurrence Examples of enhancing opportunities include adding more resources to
an activity to finish early
• Share Sharing a positive risk involves allocating some or all of the ownership of the opportunity to a
third party who is best able to capture the opportunity for the benefit of the project Examples of sharing
actions include forming risksharing partnerships teams specialpurpose companies or joint ventures
which can be established with the express purpose of taking advantage of the opportunity so that all
parties gain from their actions
• Accept Accepting an opportunity is being willing to take advantage of the opportunity if it arises but
not actively pursuing it
11523 Contingent Response Strategies
Some responses are designed for use only if certain events occur For some risks it is appropriate for
the project team to make a response plan that will only be executed under certain predefined conditions if
it is believed that there will be sufficient warning to implement the plan Events that trigger the contingency
response such as missing intermediate milestones or gaining higher priority with a supplier should be defined
and tracked Risk responses identified using this technique are often called contingency plans or fallback plans
and include identified triggering events that set the plans in effect
11524 Expert Judgment
Expert judgment is input from knowledgeable parties pertaining to the actions to be taken on a specific and
defined risk Expertise may be provided by any group or person with specialized education knowledge skill
experience or training in establishing risk responses
1153 Plan Risk Responses Outputs
11531 Project Management Plan Updates
Elements of the project management plan that may be updated as a result of carrying out this process include
but are not limited to347©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
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• Schedule management plan The schedule management plan is updated to reflect changes in process
and practice driven by the risk responses This may include changes in tolerance or behavior related to
resource loading and leveling as well as updates to the schedule strategy
• Cost management plan The cost management plan is updated to reflect changes in process and
practice driven by the risk responses This may include changes in tolerance or behavior related to
cost accounting tracking and reports as well as updates to the budget strategy and how contingency
reserves are consumed
• Quality management plan The quality management plan is updated to reflect changes in process
and practice driven by the risk responses This may include changes in tolerance or behavior related to
requirements quality assurance or quality control as well as updates to the requirements documentation
• Procurement management plan The procurement management plan may be updated to reflect
changes in strategy such as alterations in the makeorbuy decision or contract type(s) driven by the risk
responses
• Human resource management plan The staffing management plan part of the human resource
management plan is updated to reflect changes in project organizational structure and resource
applications driven by the risk responses This may include changes in tolerance or behavior related to
staff allocation as well as updates to the resource loading
• Scope baseline Because of new modified or omitted work generated by the risk responses the scope
baseline may be updated to reflect those changes
• Schedule baseline Because of new work (or omitted work) generated by the risk responses the schedule
baseline may be updated to reflect those changes
• Cost baseline Because of new work (or omitted work) generated by the risk responses the cost baseline
may be updated to reflect those changes
11532 Project Documents Updates
In the Plan Risk Responses process several project documents are updated as needed For example when
appropriate risk responses are chosen and agreed upon they are included in the risk register The risk register
should be written to a level of detail that corresponds with the priority ranking and the planned response Often the
high and moderate risks are addressed in detail Risks judged to be of low priority are included in a watch list for
periodic monitoring Updates to the risk register can include but are not limited to348 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
• Risk owners and assigned responsibilities
• Agreedupon response strategies
• Specific actions to implement the chosen response strategy
• Trigger conditions symptoms and warning signs of a risk occurrence
• Budget and schedule activities required to implement the chosen responses
• Contingency plans and triggers that call for their execution
• Fallback plans for use as a reaction to a risk that has occurred and the primary response proves to be
inadequate
• Residual risks that are expected to remain after planned responses have been taken as well as those that
have been deliberately accepted
• Secondary risks that arise as a direct outcome of implementing a risk response and
• Contingency reserves that are calculated based on the quantitative risk analysis of the project and the
organization’s risk thresholds
Other project documents updated could include
• Assumptions log updates As new information becomes available through the application of risk
responses assumptions could change The assumptions log needs to be revisited to accommodate this
new information
• Technical documentation updates As new information becomes available through the application
of risk responses technical approaches and physical deliverables may change Any supporting
documentation needs to be revisited to accommodate this new information
• Change requests Planning for possible risk responses can often result in recommendations for changes
to the resources activities cost estimates and other items identified during other planning processes
When such recommendations are identified change requests are generated and processed through the
Perform Integrated Change Control process349©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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116 control risks
Control Risks is the process of implementing risk response plans tracking identified risks monitoring residual
risks identifying new risks and evaluating risk process effectiveness throughout the project The key benefit of
this process is that it improves efficiency of the risk approach throughout the project life cycle to continuously
optimize risk responses The inputs tools and techniques and outputs of this process are depicted in Figure 1120
Figure 1121 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Risk register
3 Work performance data
4 Work performance
reports
1 Risk reassessment
2 Risk audits
3 Variance and trend
analysis
4 Technical performance
measurement
5 Reserve analysis
6 Meetings
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure 1120 control risks Inputs tools & techniques and outputs
Project Risk Management
116
Control
Risks
112
Identify
Risks
• Risk register
• Project
documents
updates
• Project management
plan updates
• Organizational process
assets updates
• Work performance
reports
• Work
performance
data
• Project
management
plan
• Change requests
• Work performance
information
45
Perform
Integrated
Change Control
42
Develop Project
Management
Plan
44
Monitor and
Control Project
Work
42
Develop Project
Management
Plan
44
Monitor and
Control Project
Work
43
Direct and
Manage
Project Work
Enterprise
Organization
Project
Documents
Figure 1121 control risks data Flow diagram350 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
Planned risk responses that are included in the risk register are executed during the life cycle of the project but
the project work should be continuously monitored for new changing and outdated risks
The Control Risks process applies techniques such as variance and trend analysis which require the use of
performance information generated during project execution Other purposes of the Control Risks process are to
determine if
• Project assumptions are still valid
• Analysis shows an assessed risk has changed or can be retired
• Risk management policies and procedures are being followed and
• Contingency reserves for cost or schedule should be modified in alignment with the current risk
assessment
Control Risks can involve choosing alternative strategies executing a contingency or fallback plan taking
corrective action and modifying the project management plan The risk response owner reports periodically to the
project manager on the effectiveness of the plan any unanticipated effects and any correction needed to handle
the risk appropriately Control Risks also includes updating the organizational process assets including project
lessons learned databases and risk management templates for the benefit of future projects
1161 Control Risks Inputs
11611 Project Management Plan
Described in Section 4231 The project management plan which includes the risk management plan provides
guidance for risk monitoring and controlling
11612 Risk Register
The risk register has key inputs that include identified risks and risk owners agreedupon risk responses
control actions for assessing the effectiveness of response plans risk responses specific implementation actions
symptoms and warning signs of risk residual and secondary risks a watch list of lowpriority risks and the time
and cost contingency reserves The watch list is within the risk register and provides a list of lowpriority risks351©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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11613 Work Performance Data
Described in Section 4332 Work performance data related to various performance results possibly impacted
by risks includes but is not limited to
• Deliverable status
• Schedule progress and
• Costs incurred
11614 Work Performance Reports
Described in Section 4432 Work performance reports take information from performance measurements
and analyze it to provide project work performance information including variance analysis earned value data and
forecasting data These data points could be impactful in controlling performance related risks
1162 Control Risks Tools and Techniques
11621 Risk Reassessment
Control Risks often results in identification of new risks reassessment of current risks and the closing of risks
that are outdated Project risk reassessments should be regularly scheduled The amount and detail of repetition
that are appropriate depends on how the project progresses relative to its objectives
11622 Risk Audits
Risk audits examine and document the effectiveness of risk responses in dealing with identified risks and their
root causes as well as the effectiveness of the risk management process The project manager is responsible for
ensuring that risk audits are performed at an appropriate frequency as defined in the project’s risk management
plan Risk audits may be included during routine project review meetings or the team may choose to hold separate
risk audit meetings The format for the audit and its objectives should be clearly defined before the audit is conducted352 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11623 Variance and Trend Analysis
Many control processes employ variance analysis to compare the planned results to the actual results For the
purposes of controlling risks trends in the project’s execution should be reviewed using performance information
Earned value analysis and other methods of project variance and trend analysis may be used for monitoring overall
project performance Outcomes from these analyses may forecast potential deviation of the project at completion
from cost and schedule targets Deviation from the baseline plan may indicate the potential impact of threats or
opportunities
11624 Technical Performance Measurement
Technical performance measurement compares technical accomplishments during project execution to the
schedule of technical achievement It requires the definition of objective quantifiable measures of technical
performance which can be used to compare actual results against targets Such technical performance measures
may include weight transaction times number of delivered defects storage capacity etc Deviation such as
demonstrating more or less functionality than planned at a milestone can help to forecast the degree of success
in achieving the project’s scope
11625 Reserve Analysis
Throughout execution of the project some risks may occur with positive or negative impacts on budget or
schedule contingency reserves Reserve analysis compares the amount of the contingency reserves remaining to
the amount of risk remaining at any time in the project in order to determine if the remaining reserve is adequate
11626 Meetings
Project risk management should be an agenda item at periodic status meetings The amount of time required
for that item will vary depending upon the risks that have been identified their priority and difficulty of response
The more often risk management is practiced the easier it becomes Frequent discussions about risk make it more
likely that people will identify risks and opportunities353©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1163 Control Risks Outputs
11631 Work Performance Information
Work performance information as a Control Risks output provides a mechanism to communicate and support
project decision making
11632 Change Requests
Implementing contingency plans or workarounds sometimes results in a change request Change requests are
prepared and submitted to the Perform Integrated Change Control process (Section 45) Change requests can
include recommended corrective and preventive actions as well
• Recommended corrective actions These are activities that realign the performance of the project
work with the project management plan They include contingency plans and workarounds The latter
are responses that were not initially planned but are required to deal with emerging risks that were
previously unidentified or accepted passively
• Recommended preventive actions These are activities that ensure that future performance of the
project work is aligned with the project management plan
11633 Project Management Plan Updates
If the approved change requests have an effect on the risk management processes the corresponding component
documents of the project management plan are revised and reissued to reflect the approved changes The elements
of the project management plan that may be updated are the same as those in the Plan Risk Responses process354 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
11 PROJECT RISK MANAGEMENT
11634 Project Documents Updates
Project documents that may be updated as a result of the Control Risk process include but are not limited to the
risk register Risk register updates may include
• Outcomes of risk reassessments risk audits and periodic risk reviews These outcomes may
include identification of new risks updates to probability impact priority response plans ownership and
other elements of the risk register Outcomes can also include closing risks that are no longer applicable
and releasing their associated reserves
• Actual outcomes of the project’s risks and of the risk responses This information can help project
managers to plan for risk throughout their organizations as well as on future projects
11635 Organizational Process Assets Updates
The risk management processes produce information that may be used for future projects and should be
captured in the organizational process assets The organizational process assets that may be updated include but
are not limited to
• Templates for the risk management plan including the probability and impact matrix and risk register
• Risk breakdown structure and
• Lessons learned from the project risk management activities
These documents should be updated as needed and at project closure Final versions of the risk register and the
risk management plan templates checklists and risk breakdown structure are included355©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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PROJECT PROCUREMENT MANAGEMENT
Project Procurement Management includes the processes necessary to purchase or acquire products services
or results needed from outside the project team The organization can be either the buyer or seller of the products
services or results of a project
Project Procurement Management includes the contract management and change control processes required to
develop and administer contracts or purchase orders issued by authorized project team members
Project Procurement Management also includes controlling any contract issued by an outside organization (the
buyer) that is acquiring deliverables from the project from the performing organization (the seller) and administering
contractual obligations placed on the project team by the contract
Figure 121 provides an overview of the Project Procurement Management processes which include the
following
121 Plan Procurement Management—The process of documenting project procurement decisions
specifying the approach and identifying potential sellers
122 Conduct Procurements—The process of obtaining seller responses selecting a seller and awarding
a contract
123 Control Procurements—The process of managing procurement relationships monitoring contract
performance and making changes and corrections as appropriate
124 Close Procurements—The process of completing each project procurement
These processes interact with each other and with processes in other Knowledge Areas as described in detail
in Section 3 and Annex A1
1212356 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
1 Inputs
1 Project management plan
2 Requirements documentation
3 Risk register
4 Activity resource
requirements
5 Project schedule
6 Activity cost estimates
7 Stakeholder register
8 Enterprise environmental
factors
9 Organizational process assets
2 Tools & Techniques
1 Makeorbuy analysis
2 Expert judgment
3 Market research
4 Meetings
3 Outputs
1 Procurement management
plan
2 Procurement statement of
work
3 Procurement documents
4 Source selection criteria
5 Makeorbuy decisions
6 Change requests
7 Project documents updates
1 Inputs
1 Procurement management
plan
2 Procurement documents
3 Source selection criteria
4 Seller proposals
5 Project documents
6 Makeorbuy decisions
7 Procurement statement of
work
8 Organizational process assets
2 Tools & Techniques
1 Bidder conference
2 Proposal evaluation
techniques
3 Independent estimates
4 Expert judgment
5 Advertising
6 Analytical techniques
7 Procurement negotiations
3 Outputs
1 Selected sellers
2 Agreements
3 Resource calendars
4 Change requests
5 Project management plan
updates
6 Project documents updates
1 Inputs
1 Project management plan
2 Procurement documents
3 Agreements
4 Approved change requests
5 Work performance reports
6 Work performance data
2 Tools & Techniques
1 Contract change control
system
2 Procurement performance
reviews
3 Inspections and audits
4 Performance reporting
5 Payment systems
6 Claims administration
7 Records management system
3 Outputs
1 Work performance information
2 Change requests
3 Project management plan
updates
4 Project documents updates
5 Organizational process assets
updates
Project Procurement
Management Overview
122 Conduct
Procurements
121 Plan Procurement
Management
123 Control
Procurements
1 Inputs
1 Project management plan
2 Procurement documents
2 Tools & Techniques
1 Procurement audits
2 Procurement negotiations
3 Records management system
3 Outputs
1 Closed procurements
2 Organizational process assets
updates
124 Close Procurements
Figure 121 Project Procurement Management Overview357©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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The Project Procurement Management processes involve agreements including contracts which are legal
documents between a buyer and a seller A contract represents a mutually binding agreement that obligates the
seller to provide something of value (eg specified products services or results) and obligates the buyer to provide
monetary or other valuable compensation An agreement can be simple or complex and may reflect the simplicity
or complexity of the deliverables or required effort
A procurement contract includes terms and conditions and may incorporate other items that the buyer
specifies as to what the seller is to perform or provide It is the project management team’s responsibility to make
certain that all procurements meet the specific needs of the project while adhering to organizational procurement
policies Depending upon the application area a contract can also be called an agreement an understanding
a subcontract or a purchase order Most organizations document policies and procedures specifically defining
the procurement rules and specifying who has authority to sign and administer such agreements on behalf of
the organization
Although all project documents may be subject to some form of review and approval the legally binding nature
of a contract or agreement usually means it will be subjected to a more extensive approval process In all cases the
primary focus of the review and approval process is to ensure that the contract language describes the products
services or results that will satisfy the identified project need
The project management team may seek support in early phases from specialists in contracting purchasing
law and technical disciplines Such involvement can be mandated by an organization’s policies
The various activities involved in the Project Procurement Management processes form the life cycle of an
agreement By actively managing the agreement life cycle and carefully wording the terms and conditions of a
procurement some identifiable project risks may be shared or transferred to a seller Entering into an agreement
for products or services is one method of allocating the responsibility for managing or sharing potential risks
A complex project may involve managing multiple contracts or subcontracts simultaneously or in sequence
In such cases each contract life cycle may end during any phase of the project life cycle Project Procurement
Management is discussed within the perspective of the buyerseller relationship The buyerseller relationship
may exist at many levels on any one project and between organizations internal to and external to the acquiring
organization
Depending on the application area the seller may be identified as a contractor subcontractor vendor service
provider or supplier Depending on the buyer’s position in the project acquisition cycle the buyer may be called a
client customer prime contractor contractor acquiring organization service requestor or purchaser The seller can
be viewed during the contract life cycle first as a bidder then as the selected source and then as the contracted
supplier or vendor358 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
The seller will typically manage the work as a project if the acquisition is not just for shelf material goods or
common products In such cases
• The buyer becomes the customer and is thus a key project stakeholder for the seller
• The seller’s project management team is concerned with all the processes of project management not
only with those of this Knowledge Area
• Terms and conditions of the contract become key inputs to many of the seller’s management processes
The contract can actually contain the inputs (eg major deliverables key milestones cost objectives)
or it can limit the project team’s options (eg buyer approval of staffing decisions is often required on
design projects)
In this section it is assumed that the buyer of an item for the project is assigned to the project team and that the
seller is organizationally external to the project team It is also assumed that a formal contractual relationship will
be developed and exists between the buyer and the seller However most of the discussion in this section is equally
applicable to noncontractual work entered into with other units of the project team’s organization
121 Plan Procurement Management
Plan Procurement Management is the process of documenting project procurement decisions specifying the
approach and identifying potential sellers The key benefit of this process is that it determines whether to acquire
outside support and if so what to acquire how to acquire it how much is needed and when to acquire it The
inputs tools and techniques and outputs of this process are depicted in Figure 122 Figure 123 depicts the data
flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Requirements
documentation
3 Risk register
4 Activity resource
requirements
5 Project schedule
6 Activity cost estimates
7 Stakeholder register
8 Enterprise environmental
factors
9 Organizational process
assets
1 Makeorbuy analysis
2 Expert judgment
3 Market research
4 Meetings
1 Procurement
management plan
2 Procurement statement
of work
3 Procurement documents
4 Source selection criteria
5 Makeorbuy decisions
6 Change requests
7 Project documents
updates
Figure 122 Plan Procurements Inputs Tools & Techniques and Outputs359©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
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Project Procurement Management
121
Plan
Procurement
Management
42
Develop Project
Management
Plan
123
Control
Procurements
124
Close
Procurements
122
Conduct
Procurements
• Risk register
• Requirements documentation
• Project management plan
• Change
requests
• Procurement
documents
• Makeorbuy decisions
• Procurement
management plan
• Procurement
statement of work
• Source selection
criteria
• Project
documents
updates
• Activity resource
requirements
• Project schedule
• Activity cost estimates
• Stakeholder register • Organizational
process assets
• Enterprise
environmental
factors
112
Identify
Risks
131
Identify
Stakeholders
45
Perform
Integrated
Change Control
Project
Documents
Enterprise
Organization
52
Collect
Requirements
112
Identify
Risks
64
Estimate Activity
Resources
66
Develop
Schedule
72
Estimate
Costs
131
Identify
Stakeholders
Figure 123 Plan Procurement Management data Flow diagram
Plan Procurement Management identifies those project needs that can best be met or should be met by
acquiring products services or results outside of the project organization versus those project needs which can
be accomplished by the project team When the project obtains products services and results required for project
performance from outside of the performing organization the processes from Plan Procurement Management
through Close Procurements are performed for each item to be acquired360 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
The Plan Procurement Management process also includes evaluating potential sellers particularly if the buyer
wishes to exercise some degree of influence or control over acquisition decisions Thought should also be given to
who is responsible for obtaining or holding any relevant permits and professional licenses that may be required by
legislation regulation or organizational policy in executing the project
The requirements of the project schedule can significantly influence the strategy during the Plan Procurement
Management process Decisions made in developing the procurement management plan can also influence the
project schedule and are integrated with Develop Schedule Estimate Activity Resources and makeorbuy analysis
The Plan Procurement Management process includes evaluating the risks involved with each makeorbuy
analysis It also includes reviewing the type of contract planned to be used with respect to avoiding or mitigating
risks sometimes transferring risks to the seller
1211 Plan Procurement Management Inputs
12111 Project Management Plan
Described in Section 4231 The project management plan describes the need justification requirements and
current boundaries for the project It includes but is not limited to the scope baseline contents
• Project scope statement The project scope statement contains the product scope description service
description and result description the list of deliverables and acceptance criteria as well as important
information regarding technical issues or concerns that could impact cost estimating Identified
constraints may include required delivery dates available skilled resources and organizational policies
• WBS The work breakdown structure (WBS) contains the components of work that may be resourced
externally
• WBS dictionary The WBS dictionary and related detailed statements of work provide an identification
of the deliverables and a description of the work in each WBS component required to produce each
deliverable361©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12112 Requirements Documentation
Described in Section 5231 Requirements documentation may include
• Important information about project requirements that is considered during planning for procurements
and
• Requirements with contractual and legal implications that may include health safety security
performance environmental insurance intellectual property rights equal employment opportunity
licenses and permits—all of which are considered when planning for procurements
12113 Risk Register
Described in Section 11231 The risk register provides the list of risks along with the results of risk analysis
and risk response planning Updates to the risk register are included with project document updates described in
Section 11532 from the Plan Risk Responses process
12114 Activity Resource Requirements
Described in Section 6431 Activity resource requirements contain information on specific needs such as
people equipment or location
12115 Project Schedule
Described in Section 6632 Project schedule contains information on required timelines or mandated
deliverable dates
12116 Activity Cost Estimates
Described in Section 7231 Cost estimates developed by the procuring activity are used to evaluate the
reasonableness of the bids or proposals received from potential sellers
12117 Stakeholder Register
Described in Section 13131 The stakeholder register provides details on the project participants and their
interests in the project362 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
12118 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Plan Procurement
Management process include but are not limited to
• Marketplace conditions
• Products services and results that are available in the marketplace
• Suppliers including past performance or reputation
• Typical terms and conditions for products services and results or for the specific industry and
• Unique local requirements
12119 Organizational Process Assets
Described in Section 214 The various types of contractual agreements used by the organization also influence
decisions for the Plan Procurement Management process The organizational process assets that influence the Plan
Procurement Management process include but are not limited to
• Formal procurement policies procedures and guidelines Most organizations have formal procurement
policies and buying organizations When such procurement support is not available the project team
should supply both the resources and the expertise to perform such procurement activities
• Management systems that are considered in developing the procurement management plan and selecting
the contractual relationships to be used
• An established multitier supplier system of prequalified sellers based on prior experience
All legal contractual relationships generally fall into one of two broad families either fixedprice or cost
reimbursable Also there is a third hybrid type commonly in use called the time and materials contract The more
popular contract types in use are discussed below as discrete types but in practice it is not unusual to combine
one or more types into a single procurement
• Fixedprice contracts This category of contracts involves setting a fixed total price for a defined product
service or result to be provided Fixedprice contracts may also incorporate financial incentives for
achieving or exceeding selected project objectives such as schedule delivery dates cost and technical
performance or anything that can be quantified and subsequently measured Sellers under fixedprice
contracts are legally obligated to complete such contracts with possible financial damages if they do
not Under the fixedprice arrangement buyers need to precisely specify the product or services being
procured Changes in scope may be accommodated but generally with an increase in contract price363©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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○○ Firm Fixed Price Contracts (FFP) The most commonly used contract type is the FFP It is
favored by most buying organizations because the price for goods is set at the outset and
not subject to change unless the scope of work changes Any cost increase due to adverse
performance is the responsibility of the seller who is obligated to complete the effort Under
the FFP contract the buyer should precisely specify the product or services to be procured
and any changes to the procurement specification can increase the costs to the buyer
○○ Fixed Price Incentive Fee Contracts (FPIF) This fixedprice arrangement gives the buyer and
seller some flexibility in that it allows for deviation from performance with financial incentives
tied to achieving agreed upon metrics Typically such financial incentives are related to cost
schedule or technical performance of the seller Performance targets are established at the
outset and the final contract price is determined after completion of all work based on the
seller’s performance Under FPIF contracts a price ceiling is set and all costs above the price
ceiling are the responsibility of the seller who is obligated to complete the work
○○ Fixed Price with Economic Price Adjustment Contracts (FPEPA) This contract type is used
whenever the seller’s performance period spans a considerable period of years as is desired
with many longterm relationships It is a fixedprice contract but with a special provision
allowing for pre defined final adjustments to the contract price due to changed conditions such
as inflation changes or cost increases (or decreases) for specific commodities The EPA clause
needs to relate to some reliable financial index which is used to precisely adjust the final price
The FPEPA contract is intended to protect both buyer and seller from external conditions beyond
their control
• Costreimbursable contracts This category of contract involves payments (cost reimbursements) to
the seller for all legitimate actual costs incurred for completed work plus a fee representing seller profit
Costreimbursable contracts may also include financial incentive clauses whenever the seller exceeds
or falls below defined objectives such as costs schedule or technical performance targets Three of
the more common types of costreimbursable contracts in use are Cost Plus Fixed Fee (CPFF) Cost Plus
Incentive Fee (CPIF) and Cost Plus Award Fee (CPAF)
A costreimbursable contract provides the project flexibility to redirect a seller whenever the scope of
work cannot be precisely defined at the start and needs to be altered or when high risks may exist in
the effort364 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
○○ Cost Plus Fixed Fee Contracts (CPFF) The seller is reimbursed for all allowable costs for
performing the contract work and receives a fixedfee payment calculated as a percentage of
the initial estimated project costs A fee is paid only for completed work and does not change
due to seller performance Fee amounts do not change unless the project scope changes
○○ Cost Plus Incentive Fee Contracts (CPIF) The seller is reimbursed for all allowable costs for
performing the contract work and receives a predetermined incentive fee based upon achieving
certain performance objectives as set forth in the contract In CPIF contracts if the final costs
are less or greater than the original estimated costs then both the buyer and seller share costs
from the departures based upon a prenegotiated costsharing formula for example an 8020
split overunder target costs based on the actual performance of the seller
○○ Cost Plus Award Fee Contracts (CPAF) The seller is reimbursed for all legitimate costs but
the majority of the fee is earned only based on the satisfaction of certain broad subjective
performance criteria defined and incorporated into the contract The determination of fee is
based solely on the subjective determination of seller performance by the buyer and is generally
not subject to appeals
• Time and Material Contracts (T&M) Time and material contracts are a hybrid type of contractual
arrangement that contain aspects of both costreimbursable and fixedprice contracts They are often
used for staff augmentation acquisition of experts and any outside support when a precise statement
of work cannot be quickly prescribed These types of contracts resemble costreimbursable contracts in
that they can be left open ended and may be subject to a cost increase for the buyer The full value of
the agreement and the exact quantity of items to be delivered may not be defined by the buyer at the
time of the contract award Thus T&M contracts can increase in contract value as if they were cost
reimbursable contracts Many organizations require nottoexceed values and time limits placed in all
T&M contracts to prevent unlimited cost growth Conversely T&M contracts can also resemble fixed
unit price arrangements when certain parameters are specified in the contract Unit labor or material
rates can be preset by the buyer and seller including seller profit when both parties agree on the values
for specific resource categories such as senior engineers at specified rates per hour or categories of
materials at specified rates per unit365©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1212 Plan Procurement Management Tools and Techniques
12121 MakeorBuy Analysis
A makeorbuy analysis is a general management technique used to determine whether particular work can
best be accomplished by the project team or should be purchased from outside sources Sometimes a capability
may exist within the project organization but may be committed to working on other projects in which case the
project may need to source such effort from outside the organization in order to meet its schedule commitments
Budget constraints may influence makeorbuy decisions If a buy decision is to be made then a further decision
of whether to purchase or lease is also made A makeorbuy analysis should consider all related costs—both
direct costs as well as indirect support costs For example the buyside of the analysis includes both the actual
outofpocket costs to purchase the product as well as the indirect costs of supporting the purchasing process and
purchased item
Available contract types are also considered during the buy analysis The risk sharing between the buyer
and seller determines the suitable contract types while the specific contract terms and conditions formalize the
degree of risk being assumed by the buyer and seller Some jurisdictions have other types of contracts defined for
example contract types based on the obligations of the seller—not the customer—and the contract parties have
the obligation to identify the appropriate type of contract as soon as the applicable law has been agreed upon
12122 Expert Judgment
Expert judgment is often used to assess the inputs to and outputs from this process Expert purchasing judgment
can also be used to develop or modify the criteria that will be used to evaluate seller proposals Expert legal
judgment may involve the services of legal staff to assist with unique procurement issues terms and conditions
Such judgment including business and technical expertise can be applied to both the technical details of the
acquired products services or results and to various aspects of the procurement management processes
12123 Market Research
Market research includes examination of industry and specific vendor capabilities Procurement teams may
leverage information gained at conferences online reviews and a variety of sources to identify market capabilities
The team may also refine particular procurement objectives to leverage maturing technologies while balancing
risks associated with the breadth of vendors who can provide the materials or services desired366 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12124 Meetings
Research alone may not provide specific information to formulate a procurement strategy without additional
information interchange meetings with potential bidders By collaborating with potential bidders the organization
purchasing the material or service may benefit while the supplier can influence a mutually beneficial approach or
product
1213 Plan Procurement Management Outputs
12131 Procurement Management Plan
The procurement management plan is a component of the project management plan that describes how a project
team will acquire goods and services from outside the performing organization It describes how the procurement
processes will be managed from developing procurement documents through contract closure The procurement
management plan can include guidance for
• Types of contracts to be used
• Risk management issues
• Whether independent estimates will be used and whether they are needed as evaluation criteria
• Those actions the project management team can take unilaterally if the performing organization has a
prescribed procurement contracting or purchasing department
• Standardized procurement documents if needed
• Managing multiple suppliers
• Coordinating procurement with other project aspects such as scheduling and performance reporting
• Any constraints and assumptions that could affect planned procurements
• Handling the long lead times to purchase certain items from sellers and coordinating the extra time
needed to procure these items with the development of the project schedule
• Handling the makeorbuy decisions and linking them into the Estimate Activity Resources and Develop
Schedule processes367©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Setting the scheduled dates in each contract for the contract deliverables and coordinating with the
schedule development and control processes
• Identifying requirements for performance bonds or insurance contracts to mitigate some forms of project
risk
• Establishing the direction to be provided to the sellers on developing and maintaining a work breakdown
structure (WBS)
• Establishing the form and format to be used for the procurementcontract statements of work
• Identifying prequalified sellers if any to be used and
• Procurement metrics to be used to manage contracts and evaluate sellers
A procurement management plan can be formal or informal can be highly detailed or broadly framed and is
based upon the needs of each project
12132 Procurement Statement of Work
The statement of work (SOW) for each procurement is developed from the project scope baseline and defines
only that portion of the project scope that is to be included within the related contract The procurement SOW
describes the procurement item in sufficient detail to allow prospective sellers to determine if they are capable of
providing the products services or results Sufficient detail can vary based on the nature of the item the needs of
the buyer or the expected contract form Information included in a SOW can include specifications quantity desired
quality levels performance data period of performance work location and other requirements
The procurement SOW is written to be clear complete and concise It includes a description of any collateral
services required such as performance reporting or postproject operational support for the procured item In some
application areas there are specific content and format requirements for a procurement SOW Each individual
procurement item requires a SOW however multiple products or services can be grouped as one procurement
item within a single SOW
The procurement SOW can be revised and refined as required as it moves through the procurement process
until incorporated into a signed agreement368 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12133 Procurement Documents
Procurement documents are used to solicit proposals from prospective sellers Terms such as bid tender or
quotation are generally used when the seller selection decision will be based on price (as when buying commercial
or standard items) while a term such as proposal is generally used when other considerations such as technical
capability or technical approach are paramount Common terms are in use for different types of procurement
documents and may include request for information (RFI) invitation for bid (IFB) request for proposal (RFP) request
for quotation (RFQ) tender notice invitation for negotiation and invitation for seller’s initial response Specific
procurement terminology used may vary by industry and location of the procurement
The buyer structures procurement documents to facilitate an accurate and complete response from each
prospective seller and to facilitate easy evaluation of the responses These documents include a description of the
desired form of the response the relevant procurement statement of work (SOW) and any required contractual
provisions With government contracting some or all of the content and structure of procurement documents may
be defined by regulation
The complexity and level of detail of the procurement documents should be consistent with the value of and
risks associated with the planned procurement Procurement documents are required to be sufficient to ensure
consistent appropriate responses but flexible enough to allow consideration of any seller suggestions for better
ways to satisfy the same requirements
Issuing a procurement request to potential sellers to submit a proposal or bid is normally done in accordance
with the policies of the buyer’s organization which can include publication of the request in public newspapers in
trade journals in public registries or on the internet
12134 Source Selection Criteria
Source selection criteria are often included as a part of the procurement documents Such criteria are developed
and used to rate or score seller proposals and can be objective or subjective
Selection criteria may be limited to only the purchase price if the procurement item is readily available from
a number of acceptable sellers Purchase price in this context includes both the cost of the item and all ancillary
expenses such as delivery
Other selection criteria can be identified and documented to support an assessment for more complex products
services or results Some possible source selection criteria are369©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Understanding of need How well does the seller’s proposal address the procurement statement of
work
• Overall or lifecycle cost Will the selected seller produce the lowest total cost of ownership (purchase
cost plus operating cost)
• Technical capability Does the seller have or can the seller be reasonably expected to acquire the
technical skills and knowledge needed
• Risk How much risk is embedded in the statement of work how much risk will be assigned to the
selected seller and how does the seller mitigate risk
• Management approach Does the seller have or can the seller be reasonably expected to develop
management processes and procedures to ensure a successful project
• Technical approach Do the seller’s proposed technical methodologies techniques solutions and
services meet the procurement documents requirements or are they likely to provide more or less than
the expected results
• Warranty What does the seller propose to warrant for the final product and through what time period
• Financial capacity Does the seller have or can the seller reasonably be expected to obtain the necessary
financial resources
• Production capacity and interest Does the seller have the capacity and interest to meet potential
future requirements
• Business size and type Does the seller’s enterprise meet a specific category of business such as
small business (disadvantaged specific programs etc) as defined by the organization or established by
governmental agency and set forth as a condition of the agreement award
• Past performance of sellers What has been the past experience with selected sellers
• References Can the seller provide references from prior customers verifying the seller’s work experience
and compliance with contractual requirements
• Intellectual property rights Does the seller assert intellectual property rights in the work processes or
services they will use or in the products they will produce for the project
• Proprietary rights Does the seller assert proprietary rights in the work processes or services they will
use or in the products they will produce for the project370 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12135 MakeorBuy Decisions
A makeorbuy analysis results in a decision of whether particular work can best be accomplished by the
project team or needs to be purchased from outside sources If the decision is to make the item then the
procurement plan may define processes and agreements internal to the organization A buy decision drives a
similar process of reaching agreement with a supplier for the product or services
12136 Change Requests
A decision that involves procuring goods services or resources typically requires a change request Other
decisions during procurement planning can also create the need for additional change requests Change requests
are processed for review and disposition through the Perform Integrated Change Control process (Section 45)
Changes to the project management plan its subsidiary plans and other components may result in change requests
that impact procurement actions Change requests are processed for review and disposition through the Perform
Integrated Change Control process (Section 45)
12137 Project Documents Updates
Project documents that may be updated include but are not limited to
• Requirements documentation
• Requirements traceability matrix and
• Risk register371©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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122 Conduct Procurements
Conduct Procurements is the process of obtaining seller responses selecting a seller and awarding a contract
The key benefit of this process is that it provides alignment of internal and external stakeholder expectations
through established agreements The inputs tools and techniques and outputs of this process are depicted in
Figure 124 Figure 125 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Procurement
management plan
2 Procurement documents
3 Source selection criteria
4 Seller proposals
5 Project documents
6 Makeorbuy decisions
7 Procurement statement
of work
8 Organizational process
assets
1 Bidder conference
2 Proposal evaluation
techniques
3 Independent estimates
4 Expert judgment
5 Advertising
6 Analytical techniques
7 Procurement
negotiations
1 Selected sellers
2 Agreements
3 Resource calendars
4 Change requests
5 Project management plan
updates
6 Project documents
updates
Figure 124 Conduct Procurements Inputs Tools & Techniques and Outputs372 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Selected sellers
Project Procurement Management
122
Conduct
Procurements
121
Plan
Procurement
Management
123
Control
Procurements
41
Develop Project
Charter
• Organizational
process assets
• Project documents
• Procurement management plan
• Procurement documents
• Source selection criteria
• Makeorbuy decisions
• Procurement statement of work
• Resource
calendars
• Change
requests
• Agreements
• Project
management
plan updates
• Project
documents
updates
• Seller proposals
65
Estimate
Activity
Durations
45
Perform
Integrated
Change Control
64
Estimate
Activity
Resources
42
Develop Project
Management
Plan
66
Develop
Schedule
73
Determine
Budget
93
Develop
Project Team
Project
Documents
Project
Documents
Enterprise
Organization
Sellers
Figure 125 conduct Procurements data Flow diagram
During the Conduct Procurements process the team will receive bids or proposals and will apply previously
defined selection criteria to select one or more sellers who are qualified to perform the work and acceptable as a
seller373©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
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On major procurement items the overall process of requesting responses from sellers and evaluating
those responses can be repeated A short list of qualified sellers can be established based on a preliminary
proposal A more detailed evaluation can then be conducted based on a more specific and comprehensive
requirements document requested from the sellers on the short list In addition tools and techniques
described here may be used alone or in combination with select sellers For example a weighting system
can be used to
• Select a single seller that will be asked to sign a standard contract and
• Establish a negotiating sequence by ranking all proposals by the weighted evaluation scores assigned to
each proposal
1221 Conduct Procurements Inputs
12211 Procurement Management Plan
Described in Section 4231 The procurement management plan describes how the procurement processes
will be managed from developing procurement documentation through contract closure
12212 Procurement Documents
Described in Section 12133 Procurement documents provide an audit trail for contracts and other
agreements
12213 Source Selection Criteria
Described in Section 12134
Source selection criteria can include information on the supplier’s required capabilities capacity delivery dates
product cost lifecycle cost technical expertise and the approach to the contract
12214 Seller Proposals
Seller proposals prepared in response to a procurement document package form the basic information that will
be used by an evaluation body to select one or more successful bidders (sellers)374 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12215 Project Documents
Described in Section 11532 Project documents that are often considered include the riskrelated contract
decisions included within the risk register
12216 MakeorBuy Decisions
Described in Section 12135 Organizations procuring goods or services analyze the need identify resources
and then compare procurement strategies when deciding to buy Organizations also evaluate the need of buying
products versus making the items themselves Factors that influence makeorbuy decisions may include
• Core capabilities of the organization
• Value delivered by vendors meeting the need
• Risks associated with meeting the need in a costeffective manner and
• Capability internally compared with the vendor community
12217 Procurement Statement of Work
Described in Section 12132 The procurement statement of work provides suppliers with a clearly stated set
of goals requirements and outcomes from which they can provide a quantifiable response The statement of work
is a critical component of the procurement process and can be modified as needed through this process until a final
agreement is in place The statements of work may include but are not limited to
• Specifications
• Quantity desired
• Quality levels
• Performance data
• Period of performance
• Work location and
• Other requirements375©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12218 Organizational Process Assets
Described in Section 214 Elements of the organizational process assets that can influence the Conduct
Procurements process include but are not limited to
• Listings of prospective and previously qualified sellers
• Information on relevant past experience with sellers both good and bad and
• Prior agreements
Whenever a prior agreement is in place the buyer and seller roles will have already been decided by executive
management In some cases the seller may already be working under a contract funded by the buyer or jointly by
both parties The effort of the buyer and seller in this process is to collectively prepare a procurement statement
of work that will satisfy the requirements of the project The parties will then negotiate a final contract for award
1222 Conduct Procurements Tools and Techniques
12221 Bidder Conferences
Bidder conferences (sometimes called contractor conferences vendor conferences and prebid conferences)
are meetings between the buyer and all prospective sellers prior to submittal of a bid or proposal They are used
to ensure that all prospective sellers have a clear and common understanding of the procurement requirements)
and that no bidders receive preferential treatment To be fair buyers should take great care to ensure that all
prospective sellers hear every question from any individual prospective seller and every answer from the buyer
Typically fairness is addressed by techniques such as collecting questions from bidders or arranging field visits in
advance of the bidder conference Responses to questions can be incorporated into the procurement documents
as amendments
12222 Proposal Evaluation Techniques
On complex procurements where source selection will be made based on seller responses to previously defined
weighted criteria a formal evaluation review process will be defined by the buyer’s procurement policies The
evaluation committee will make their selection for approval by management prior to the award376 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12223 Independent Estimates
For many procurement items the procuring organization may elect to either prepare its own independent
estimate or have an estimate of costs prepared by an outside professional estimator to serve as a benchmark on
proposed responses Significant differences in cost estimates can be an indication that the procurement statement
of work was deficient ambiguous andor that the prospective sellers either misunderstood or failed to respond fully
to the procurement statement of work
12224 Expert Judgment
Expert judgment may be used in evaluating seller proposals The evaluation of proposals may be accomplished
by a multidiscipline review team with expertise in each of the areas covered by the procurement documents
and proposed contract This can include expertise from functional disciplines such as contracting legal finance
accounting engineering design research development sales and manufacturing
12225 Advertising
Existing lists of potential sellers often can be expanded by placing advertisements in general circulation
publications such as selected newspapers or in specialty trade publications Some organizations use online
resources to communicate solicitations to the vendor community Some government jurisdictions require public
advertising of certain types of procurement items and most government jurisdictions require public advertising or
online posting of pending government contracts
12226 Analytical Techniques
Procurements involve defining a need in such a way that vendors can bring value through their offerings To
ensure that the need can be and is met analytical techniques can help organizations identify the readiness of a
vendor to provide the desired end state determine the cost expected to support budgeting and avoid cost overruns
due to changes By examining past performance information teams may identify areas that may have more risk
and that need to be monitored closely to ensure success of the project377©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12227 Procurement Negotiations
Procurement negotiations clarify the structure requirements and other terms of the purchases so that mutual
agreement can be reached prior to signing the contract Final contract language reflects all agreements reached
Subjects covered should include responsibilities authority to make changes applicable terms and governing law
technical and business management approaches proprietary rights contract financing technical solutions overall
schedule payments and price Negotiations conclude with a contract document that can be executed by both buyer
and seller
For complex procurement items contract negotiation can be an independent process with inputs (eg issues or
an open items listing) and outputs (eg documented decisions) of its own For simple procurement items the terms
and conditions of the contract can be previously set and nonnegotiable and only need to be accepted by the seller
The project manager may not be the lead negotiator on procurements The project manager and other members
of the project management team may be present during negotiations to provide assistance and if needed to add
clarification of the project’s technical quality and management requirements
1223 Conduct Procurements Outputs
12231 Selected Sellers
The selected sellers are those who have been judged to be in a competitive range based upon the outcome
of the proposal or bid evaluation and who have negotiated a draft contract that will become the actual contract
when an award is made Final approval of all complex highvalue highrisk procurements will generally require
organizational senior management approval prior to award
12232 Agreements
A procurement agreement includes terms and conditions and may incorporate other items that the buyer
specifies regarding what the seller is to perform or provide It is the project management team’s responsibility
to make certain that all agreements meet the specific needs of the project while adhering to organizational
procurement policies Depending upon the application area an agreement can also be called an understanding
a contract a subcontract or a purchase order Regardless of the document’s complexity a contract is a mutually
binding legal agreement that obligates the seller to provide the specified products services or results and
obligates the buyer to compensate the seller A contract is a legal relationship subject to remedy in the courts
The major components in an agreement document will vary but may include the following378 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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• Statement of work or deliverables
• Schedule baseline
• Performance reporting
• Period of performance
• Roles and responsibilities
• Seller’s place of performance
• Pricing
• Payment terms
• Place of delivery
• Inspection and acceptance criteria
• Warranty
• Product support
• Limitation of liability
• Fees and retainer
• Penalties
• Incentives
• Insurance and performance bonds
• Subordinate subcontractor approvals
• Change request handling and
• Termination clause and alternative dispute resolution (ADR) mechanisms The ADR method can be decided
in advance as a part of the procurement award
12233 Resource Calendars
The quantity and availability of contracted resources and those dates on which each specific resource or
resource group can be active or idle are documented
12234 Change Requests
Change requests to the project management plan its subsidiary plans and other components are processed for
review and disposition through the Perform Integrated Change Control process (Section 45)379©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12235 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to
• Cost baseline
• Scope baseline
• Schedule baseline
• Communications management plan and
• Procurement management plan
12236 Project Documents Updates
Project documents that may be updated include but are not limited to
• Requirements documentation
• Requirements traceability documentation
• Risk register and
• Stakeholder register
123 Control Procurements
Control Procurements is the process of managing procurement relationships monitoring contract performance
and making changes and corrections to contracts as appropriate The key benefit of this process is that it ensures
that both the seller’s and buyer’s performance meets procurement requirements according to the terms of the legal
agreement The inputs tools and techniques and outputs of this process are depicted in Figure 126 Figure 127
depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Procurement documents
3 Agreements
4 Approved change
requests
5 Work performance
reports
6 Work performance data
1 Contract change control
system
2 Procurement
performance reviews
3 Inspections and audits
4 Performance reporting
5 Payment systems
6 Claims administration
7 Records management
system
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure 126 Control Procurements Inputs Tools & Techniques and Outputs380 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Project Procurement Management
123
Control
Procurements
121
Plan
Procurement
Management
122
Conduct
Procurements
• Work performance
information
• Agreements
• Procurement documents
• Project documents
updates
• Change
requests
• Work
performance
reports
• Work performance data
• Approved change requests
• Project
management
plan
• Project
management
plan updates
• Organizational process
assets updates
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
45
Perform
Integrated
Change Control
42
Develop Project
Management
Plan
43
Direct and
Manage Project
Work
Enterprise
Organization
Project
Documents
Figure 127 control Procurements data Flow diagram
Both the buyer and the seller will administer the procurement contract for similar purposes Each are required
to ensure that both parties meet their contractual obligations and that their own legal rights are protected The legal
nature of the contractual relationship makes it imperative that the project management team is aware of the legal
implications of actions taken when controlling any procurement On larger projects with multiple providers a key
aspect of contract administration is managing interfaces among the various providers
Due to varying organizational structures many organizations treat contract administration as an administrative
function separate from the project organization While a procurement administrator may be on the project team
this individual typically reports to a supervisor from a different department This is usually true if the performing
organization is also the seller of the project to an external customer381©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Control Procurements includes application of the appropriate project management processes to the contractual
relationship(s) and integration of the outputs from these processes into the overall management of the project This
integration will often occur at multiple levels when there are multiple sellers and multiple products services or
results involved The project management processes that are applied may include but are not limited to
• Direct and Manage Project Work To authorize the seller’s work at the appropriate time
• Control Quality To inspect and verify the adequacy of the seller’s product
• Perform Integrated Change Control To assure that changes are properly approved and that all those
with a need to know are aware of such changes
• Control Risks To ensure that risks are mitigated
Control Procurements also has a financial management component that involves monitoring payments to the
seller This ensures that payment terms defined within the contract are met and that seller compensation is linked
to seller progress as defined in the contract One of the principal concerns when making payments to suppliers is
that there is a close relationship of payments made to the work accomplished
The Control Procurements process reviews and documents how well a seller is performing or has performed
based on the contract and establishes corrective actions when needed This performance review may be used as
a measure of the seller’s competency for performing similar work on future projects Similar evaluations are also
carried out when it is necessary to confirm that a seller is not meeting the seller’s contractual obligations and
when the buyer contemplates corrective actions Control Procurements includes capturing the necessary details
for managing any early terminations of the contracted work (for cause convenience or default) in accordance with
the termination clause of the agreement These details are used in the Close Procurements process to terminate
the agreement
Agreements can be amended at any time prior to contract closure by mutual consent in accordance with the
change control terms of the agreement Such amendments are typically captured in writing
1231 Control Procurements Inputs
12311 Project Management Plan
Described in Section 4231 The project management plan describes how the procurement processes will be
managed from developing procurement documentation through contract closure382 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
12312 Procurement Documents
Described in Section 12133 Procurement documents contain complete supporting records for administration
of the procurement processes this includes procurement contract awards and the statement of work
12313 Agreements
Described in Section 12232 Agreements are understandings between parties including understanding of
the duties of each party
12314 Approved Change Requests
Approved change requests can include modifications to the terms and conditions of the contract including the
procurement statement of work pricing and descriptions of the products services or results to be provided All
procurementrelated changes are formally documented in writing and approved before being implemented through
the Control Procurements process
12315 Work Performance Reports
Described in Section 4432 Seller performancerelated documentation includes
• Technical documentation Sellerdeveloped technical documentation and other deliverable information
are provided in accordance with the terms of the contract
• Work performance information The seller’s performance reports indicate which deliverables have
been completed and which have not
12316 Work Performance Data
Described in Section 4332 Work performance data includes (1) the extent to which quality standards are
being satisfied (2) the costs that have been incurred or committed and (3) identification of the seller invoices
that have been paid All data are collected as part of project execution383©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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1232 Control Procurements Tools and Techniques
12321 Contract Change Control System
A contract change control system defines the process by which the procurement can be modified It includes
the paperwork tracking systems dispute resolution procedures and approval levels necessary for authorizing
changes The contract change control system is integrated with the integrated change control system
12322 Procurement Performance Reviews
A procurement performance review is a structured review of the seller’s progress to deliver project scope
and quality within cost and on schedule as compared to the contract It can include a review of sellerprepared
documentation and buyer inspections as well as quality audits conducted during seller’s execution of the work
The objective of a performance review is to identify performance successes or failures progress with respect to
the procurement statement of work and contract noncompliance which allow the buyer to quantify the seller’s
demonstrated ability or inability to perform work Such reviews may take place as a part of project status reviews
which would include key suppliers
12323 Inspections and Audits
Inspections and audits required by the buyer and supported by the seller as specified in the procurement
contract can be conducted during execution of the project to verify compliance in the seller’s work processes or
deliverables If authorized by contract some inspection and audit teams can include buyer procurement personnel
12324 Performance Reporting
Work performance data and reports supplied by sellers are evaluated against the agreement requirements
Work performance information from this evaluation is then reported as appropriate Performance reporting provides
management with information about how effectively the seller is achieving the contractual objectives
12325 Payment Systems
Payments to the seller are typically processed by the accounts payable system of the buyer after
certification of satisfactory work by an authorized person on the project team All payments should be made
and documented in strict accordance with the terms of the contract384 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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12326 Claims Administration
Contested changes and potential constructive changes are those requested changes where the buyer and seller
cannot reach an agreement on compensation for the change or cannot agree that a change has occurred These
contested changes are variously called claims disputes or appeals Claims are documented processed monitored
and managed throughout the contract life cycle usually in accordance with the terms of the contract If the parties
themselves do not resolve a claim it may have to be handled in accordance with alternative dispute resolution
(ADR) typically following procedures established in the contract Settlement of all claims and disputes through
negotiation is the preferred method
12327 Records Management System
A records management system is used by the project manager to manage contract and procurement
documentation and records It consists of a specific set of processes related control functions and automation
tools that are consolidated and combined as part of the project management information system (Section 4423)
The system contains a retrievable archive of contract documents and correspondence
1233 Control Procurements Outputs
12331 Work Performance Information
Work performance information provides a basis for identification of current or potential problems to support later
claims or new procurements By reporting on the performance of a vendor the organization increases knowledge
of the performance of the procurement which supports improved forecasting risk management and decision
making Performance reports also assist in the event there is a dispute with the vendor
Work performance information includes reporting compliance of contracts which provides procuring
organizations a mechanism to track specific deliverables expected and received from vendors Contract compliance
reports support improved communications with vendors so that potential issues are addressed promptly to the
satisfaction of all parties385©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
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12332 Change Requests
Change requests to the project management plan its subsidiary plans and other components such as the
cost baseline schedule baseline and procurement management plan may result from the Control Procurements
process Change requests are processed for review and approval through the Perform Integrated Change Control
process
Requested but unresolved changes can include direction provided by the buyer or actions taken by the seller
which the other party considers a constructive change to the contract Since any of these constructive changes may
be disputed by one party and can lead to a claim against the other party such changes are uniquely identified and
documented by project correspondence
12333 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to
• Procurement management plan The procurement management plan is updated to reflect any approved
change requests that affect procurement management including impacts to costs or schedules
• Schedule baseline If there are slippages that impact overall project performance the schedule baseline
may need to be updated to reflect the current expectations
• Cost baseline If there are changes that impact overall project costs the cost baseline may need to be
updated to reflect the current expectations
12334 Project Documents Updates
Project documents that may be updated include but are not limited to procurement documentation
Procurement documentation may include the procurement contract with all supporting schedules requested
unapproved contract changes and approved change requests Procurement documentation also includes any
sellerdeveloped technical documentation and other work performance information such as deliverables seller
performance reports and warranties financial documents including invoices and payment records and the
results of contractrelated inspections
12335 Organizational Process Assets Updates
Elements of the organizational process assets that may be updated include but are not limited to386 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
• Correspondence Contract terms and conditions often require written documentation of certain aspects of
buyerseller communications such as the need for warnings of unsatisfactory performance and requests
for contract changes or clarification This can include the reported results of buyer audits and inspections
that indicate weaknesses the seller needs to correct In addition to specific contract requirements for
documentation a complete and accurate written record of all written and oral contract communications
as well as actions taken and decisions made are maintained by both parties
• Payment schedules and requests All payments should be made in accordance with the procurement
contract terms and conditions
• Seller performance evaluation documentation Seller performance evaluation documentation is
prepared by the buyer Such performance evaluations document the seller’s ability to continue to perform
work on the current contract indicate if the seller can be allowed to perform work on future projects
or rate how well the seller is performing the project work These documents may form the basis for
early termination of the seller’s contract or determine how contract penalties fees or incentives are
administered The results of these performance evaluations can also be included in the appropriate
qualified seller lists
124 Close Procurements
Close Procurements is the process of completing each procurement The key benefit of this process is that
it documents agreements and related documentation for future reference The inputs tools and techniques and
outputs of this process are depicted in Figure 128 Figure 129 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Procurement documents
1 Procurement audits
2 Procurement
negotiations
3 Records management
system
1 Closed procurements
2 Organizational process
assets updates
Figure 128 Close Procurements Inputs Tools & Techniques and Outputs387©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
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Project Procurement Management
124
Close
Procurements
121
Plan
Procurement
Management
• Organizational
process assets
updates
• Procurement
documents
• Project
management
plan
• Closed
procurements
42
Develop Project
Management
Plan
Enterprise
Organization
Figure 129 Close Procurements Data Flow Diagram
The Close Procurements process also involves administrative activities such as finalizing open claims updating
records to reflect final results and archiving such information for future use Close Procurements addresses each
contract applicable to the project or a project phase In multiphase projects the term of a contract may only be
applicable to a given phase of the project In these cases the Close Procurements process closes the procurement(s)
applicable to that phase of the project Unresolved claims may be subject to litigation after closure The contract
terms and conditions can prescribe specific procedures for agreement closure The Close Procurements process
supports the Close Project or Phase process (Section 46) by ensuring contractual agreements are completed or
terminated
Early termination of a contract is a special case of procurement closure that can result from a mutual agreement
by both parties from the default of one party or for convenience of the buyer if provided for in the contract The
rights and responsibilities of the parties in the event of an early termination are contained in the terminations clause
of the contract Based upon those procurement terms and conditions the buyer may have the right to terminate
the whole contract or a portion of the contract at any time for cause or convenience However based upon those
contract terms and conditions the buyer may have to compensate the seller for seller’s preparations and for any
completed and accepted work related to the terminated part of the contract388 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
1241 Close Procurements Inputs
12411 Project Management Plan
Described in Section 4231 The project management plan contains the procurement management plan which
provides the details and guidelines for closing out procurements
12412 Procurement Documents
To close the contract all procurement documentation is collected indexed and filed Information on contract
schedule scope quality and cost performance along with all contract change documentation payment records
and inspection results are cataloged This information can be used for lessons learned information and as a basis
for evaluating contractors for future contracts
1242 Close Procurements Tools and Techniques
12421 Procurement Audits
A procurement audit is a structured review of the procurement process originating from the Plan Procurement
Management process through Control Procurements The objective of a procurement audit is to identify successes
and failures that warrant recognition in the preparation or administration of other procurement contracts on the
project or on other projects within the performing organization
12422 Procurement Negotiations
In all procurement relationships the final equitable settlement of all outstanding issues claims and disputes by
negotiation is a primary goal Whenever settlement cannot be achieved through direct negotiation some form of
alternative dispute resolution (ADR) including mediation or arbitration may be explored When all else fails litigation
in the courts is the least desirable option389©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
12 PROJECT PROCUREMENT MANAGEMENT
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12423 Records Management System
Described in Section 12327 A records management system is used by the project manager to manage
contract and procurement documentation and records Contract documents and correspondence are archived
through the records management system as part of the Close Procurements process
1243 Close Procurements Outputs
12431 Closed Procurements
The buyer usually through its authorized procurement administrator provides the seller with formal written
notice that the contract has been completed Requirements for formal procurement closure are usually defined in
the terms and conditions of the contract and are included in the procurement management plan
12432 Organizational Process Assets Updates
Elements of the organizational process assets that may be updated include but are not limited to
• Procurement file A complete set of indexed contract documentation including the closed contract is
prepared for inclusion with the final project files
• Deliverable acceptance Documentation of formal acceptance of sellerprovided deliverables may be
required to be retained by the organization The Close Procurement process ensures this documentation
requirement is satisfied Requirements for formal deliverable acceptance and how to address
nonconforming deliverables are usually defined in the agreement
• Lessons learned documentation Lessons learned what has been experienced and process
improvement recommendations should be developed for the project file to improve future procurements391©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
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PROJECT STAKEHOLDER MANAGEMENT
Project Stakeholder Management includes the processes required to identify the people groups or
organizations that could impact or be impacted by the project to analyze stakeholder expectations and their
impact on the project and to develop appropriate management strategies for effectively engaging stakeholders
in project decisions and execution Stakeholder management also focuses on continuous communication with
stakeholders to understand their needs and expectations addressing issues as they occur managing conflicting
interests and fostering appropriate stakeholder engagement in project decisions and activities Stakeholder
satisfaction should be managed as a key project objective
Figure 131 provides an overview of the Project Stakeholder Management processes that include the following
131 Identify Stakeholders—The process of identifying the people groups or organizations that
could impact or be impacted by a decision activity or outcome of the project and analyzing and
documenting relevant information regarding their interests involvement interdependencies
influence and potential impact on project success
132 Plan Stakeholder Management—The process of developing appropriate management strategies to
effectively engage stakeholders throughout the project life cycle based on the analysis of their needs
interests and potential impact on project success
133 Manage Stakeholder Engagement—The process of communicating and working with stakeholders
to meet their needsexpectations address issues as they occur and foster appropriate stakeholder
engagement in project activities throughout the project life cycle
134 Control Stakeholder Engagement—The process of monitoring overall project stakeholder
relationships and adjusting strategies and plans for engaging stakeholders
These processes interact with each other and with processes in other Knowledge Areas as described in detail
in Section 3 and Annex A1
Every project will have stakeholders who are impacted by or can impact the project in a positive or negative way
While some stakeholders may have a limited ability to influence the project others may have significant influence
on the project and its expected outcomes The ability of the project manager to correctly identify and manage these
stakeholders in an appropriate manner can mean the difference between success and failure
1313392 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
1 Inputs
1 Project charter
2 Procurement documents
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Stakeholder analysis
2 Expert judgment
3 Meetings
3 Outputs
1 Stakeholder register
1 Inputs
1 Project management plan
2 Stakeholder register
3 Enterprise environmental
factors
4 Organizational process assets
2 Tools & Techniques
1 Expert judgment
2 Meetings
3 Analytical techniques
3 Outputs
1 Stakeholder management
plan
2 Project documents updates
1 Inputs
1 Stakeholder management plan
2 Communications management
plan
3 Change log
4 Organizational process assets
2 Tools & Techniques
1 Communication methods
2 Interpersonal skills
3 Management skills
3 Outputs
1 Issue log
2 Change requests
3 Project management plan
updates
4 Project documents updates
5 Organizational process assets
updates
Project Stakeholder
Management Overview
132 Plan Stakeholder
Management
131 Identify
Stakeholders
1 Inputs
1 Project management plan
2 Issue log
3 Work performance data
4 Project documents
2 Tools & Techniques
1 Information management
systems
2 Expert judgment
3 Meetings
3 Outputs
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents updates
5 Organizational process assets
updates
134 Control Stakeholder
Engagement
133 Manage Stakeholder
Engagement
Figure 131 Project Stakeholder Management Overview393©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
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131 Identify Stakeholders
Identify Stakeholders is the process of identifying the people groups or organizations that could impact or
be impacted by a decision activity or outcome of the project analyzing and documenting relevant information
regarding their interests involvement interdependencies influence and potential impact on project success The
key benefit of this process is that it allows the project manager to identify the appropriate focus for each stakeholder
or group of stakeholders The inputs tools and techniques and outputs of this process are depicted in Figure 132
Figure 133 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project charter
2 Procurement documents
3 Enterprise environmental
factors
4 Organizational process
assets
1 Stakeholder analysis
2 Expert judgment
3 Meetings
1 Stakeholder register
Figure 132 Identify Stakeholders Inputs tools & techniques and outputs
Project Stakeholder Management
131
Identify
Stakeholders
132
Plan
Stakeholder
Management
• Procurement
documents
• Project charter
• Stakeholder
register
• Stakeholder
register
• Organizational
process assets
• Enterprise
environmental
factors
101
Plan
Communications
Management
121
Plan
Procurement
Management
121
Plan
Procurement
Management
41
Develop Project
Charter
52
Collect
Requirements
81
Plan Quality
Management
111
Plan Risk
Management
112
Identify
Risks
Enterprise
Organization
Figure 133 Identify Stakeholders data Flow diagram394 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
Project stakeholders are individuals groups or organizations who may affect be affected by or perceive
themselves to be affected by a decision activity or outcome of a project They are comprised of persons and
organizations such as customers sponsors the performing organization and the public who are actively involved
in the project or whose interests may be positively or negatively affected by the execution or completion of the
project They may also exert influence over the project and its deliverables Stakeholders may be at different
levels within the organization and may possess different authority levels or may be external to the performing
organization for the project Section 13121 identifies various types of project stakeholders
It is critical for project success to identify the stakeholders early in the project or phase and to analyze their
levels of interest their individual expectations as well as their importance and influence This initial assessment
should be reviewed and updated regularly Most projects will have a diverse number of stakeholders depending
on their size type and complexity While the project manager’s time is limited and should be used as efficiently
as possible these stakeholders should be classified according to their interest influence and involvement in the
project taking into consideration the fact that the affect or influence of a stakeholder may not occur or become
evident until later stages in the project or phase This enables the project manager to focus on the relationships
necessary to ensure the success of the project
1311 Identify Stakeholders Inputs
13111 Project Charter
Described in Section 4131 The project charter can provide information about internal and external parties
related with the project and affected by the result or the execution of the project such as project sponsor(s)
customers team members groups and departments participating in the project and other people or organizations
affected by the project
13112 Procurement Documents
Described in Section 12133 If a project is the result of a procurement activity or is based on an established
contract the parties in that contract are key project stakeholders Other relevant parties such as suppliers should
also be considered as part of the project stakeholder list395©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13
13113 Enterprise Environmental Factors
Described in Section 215 The enterprise environmental factors that can influence the Identify Stakeholders
process include but are not limited to
• Organizational culture and structure
• Governmental or industry standards (eg regulations product standards) and
• Global regional or local trends and practices or habits
13114 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Identify Stakeholders
process include but are not limited to
• Stakeholder register templates
• Lessons learned from previous projects or phases and
• Stakeholder registers from previous projects
1312 Identify Stakeholders Tools and Techniques
13121 Stakeholder Analysis
Stakeholder analysis is a technique of systematically gathering and analyzing quantitative and qualitative
information to determine whose interests should be taken into account throughout the project It identifies the
interests expectations and influence of the stakeholders and relates them to the purpose of the project It also
helps to identify stakeholder relationships (with the project and with other stakeholders) that can be leveraged
to build coalitions and potential partnerships to enhance the project’s chance of success along with stakeholder
relationships that need to be influenced differently at different stages of the project or phase396 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
Stakeholder analysis generally follows the steps described below
• Identify all potential project stakeholders and relevant information such as their roles departments
interests knowledge expectations and influence levels Key stakeholders are usually easy to identify
They include anyone in a decisionmaking or management role who is impacted by the project outcome
such as the sponsor the project manager and the primary customer Identifying other stakeholders is
usually done by interviewing identified stakeholders and expanding the list until all potential stakeholders
are included
• Analyze the potential impact or support each stakeholder could generate and classify them so as to define
an approach strategy In large stakeholder communities it is important to prioritize the stakeholders to
ensure the efficient use of effort to communicate and manage their expectations
• Assess how key stakeholders are likely to react or respond in various situations in order to plan how to
influence them to enhance their support and mitigate potential negative impacts
There are multiple classification models used for stakeholders analysis such as
• Powerinterest grid grouping the stakeholders based on their level of authority (power) and their level
or concern (interest) regarding the project outcomes
• Powerinfluence grid grouping the stakeholders based on their level of authority (power) and their
active involvement (influence) in the project
• Influenceimpact grid grouping the stakeholders based on their active involvement (influence) in the
project and their ability to effect changes to the project’s planning or execution (impact) and
• Salience model describing classes of stakeholders based on their power (ability to impose their will)
urgency (need for immediate attention) and legitimacy (their involvement is appropriate)
Figure 134 presents an example of a powerinterest grid with AH representing the placement of generic
stakeholders397©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13
Keep
Satisfied
Manage
Closely
• B
• H
• F• A
• G • C
• E• D
Monitor Keep
Informed
High
Power
Low
Low Interest High
Figure 134 Example PowerInterest Grid with Stakeholders
13122 Expert Judgment
To ensure comprehensive identification and listing of stakeholders judgment and expertise should be sought
from groups or individuals with specialized training or subject matter expertise such as
• Senior management
• Other units within the organization
• Identified key stakeholders398 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
• Project managers who have worked on projects in the same area (directly or through lessons learned)
• Subject matter experts (SMEs) in the business or project area
• Industry groups and consultants and
• Professional and technical associations regulatory bodies and nongovernmental organizations (NGOs)
Expert judgment can be obtained through individual consultations (oneonone meetings interviews etc) or
through a panel format (focus groups surveys etc)
13123 Meetings
Profile analysis meetings are project meetings designed to develop an understanding of major project
stakeholders and they can be used to exchange and analyze information about roles interests knowledge and the
overall position of each stakeholder facing the project
1313 Identify Stakeholders Outputs
13131 Stakeholder Register
The main output of the Identify Stakeholders process is the stakeholder register This contains all details related
to the identified stakeholders including but not limited to
• Identification information Name organizational position location role in the project contact
information
• Assessment information Major requirements main expectations potential influence in the project
phase in the life cycle with the most interest and
• Stakeholder classification Internalexternal supporterneutralresistor etc
The stakeholder register should be consulted and updated on a regular basis as stakeholders may change—or
new ones identified—throughout the life cycle of the project399©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
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132 Plan Stakeholder Management
Plan Stakeholder Management is the process of developing appropriate management strategies to effectively
engage stakeholders throughout the project life cycle based on the analysis of their needs interests and potential
impact on project success The key benefit of this process is that it provides a clear actionable plan to interact with
project stakeholders to support the project’s interests The inputs tools and techniques and outputs of this process
are depicted in Figure 135 Figure 136 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Project management plan
2 Stakeholder register
3 Enterprise environmental
factors
4 Organizational process
assets
1 Expert judgment
2 Meetings
3 Analytical techniques
1 Stakeholder management
plan
2 Project documents
updates
Figure 135 Plan Stakeholder Management Inputs Tools & Techniques and Outputs
Project Stakeholder Management
131
Identify
Stakeholders
• Stakeholder
management
plan
• Project
documents
updates
• Stakeholder
register• Organizational
process assets
• Enterprise
environmental
factors
• Project
management
plan
52
Collect
Requirements
42
Develop Project
Management
Plan
Enterprise
Organization
Project
Documents
132
Plan
Stakeholder
Management
133
Manage
Stakeholder
Engagement
Figure 136 Plan Stakeholder Management Data Flow Diagram400 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
Plan Stakeholder Management identifies how the project will affect stakeholders which then allows the
project manager to develop various ways to effectively engage stakeholders in the project to manage their
expectations and to ultimately achieving the project objectives Stakeholder management is more than improving
communications and requires more than managing a team Stakeholder management is about creation and
maintenance of relationships between the project team and stakeholders with the aim to satisfy their respective
needs and requirements within project boundaries
This process generates the stakeholder management plan which contains detailed plans on how effective
stakeholder management can be realized As the project progresses the membership of the stakeholder community
and required level of engagement may change therefore stakeholder management planning is an iterative process
that is reviewed on a regular basis by the project manager
1321 Plan Stakeholder Management Inputs
13211 Project Management Plan
Described in Section 4231 The information used for the development of the stakeholder management plan
includes but is not limited to
• Life cycle selected for the project and the processes that will be applied to each phase
• Description of how work will be executed to accomplish the project objectives
• Description of how human resources requirements will be met and how roles and responsibilities
reporting relationships and staffing management will be addressed and structured for the project
• Change management plan that documents how changes will be monitored and controlled and
• Need and techniques for communication among stakeholders
13212 Stakeholder Register
Described in Section 13131 The stakeholder register provides the information needed to plan appropriate
ways to engage project stakeholders401©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
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13213 Enterprise Environmental Factors
Described in Section 215 All enterprise environmental factors are used as inputs to this process because
the management of stakeholders should be adapted to the project environment Of these organizational culture
structure and political climate are of particular importance because they help in determining the best options to
support a better adaptive process for managing stakeholders
13214 Organizational Process Assets
Described in Section 214 All organizational process assets are used as inputs for the Plan Stakeholder
Management process Of these lessons learned database and historical information are of particular importance
because they provide insights on previous stakeholder management plans and their effectiveness These can be
used to plan the stakeholder management activities for the current project
1322 Plan Stakeholder Management Tools and Techniques
13221 Expert Judgment
Based on the project objectives the project manager should apply expert judgment to decide upon the level of
engagement required at each stage of the project from each stakeholder For example at the beginning of a project
it may be necessary for senior stakeholders to be highly engaged in order to clear away any obstacles to success
Once these have been successfully removed it may be sufficient for senior stakeholders to change their level of
engagement from leading to supportive and other stakeholders such as end users may become more important
In order to create the stakeholder management plan judgment and expertise should be sought from groups
or individuals with specialized training or subject matter expertise or insight into the relationships within the
organization such as
• Senior management
• Project team members
• Other units or individuals within the organization
• Identified key stakeholders402 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
• Project managers who have worked on projects in the same area (directly or through lessons learned)
• Subject matter experts in business or project area
• Industry groups and consultants and
• Professional and technical associations regulatory bodies and nongovernmental organization (NGOs)
Expert judgment can be obtained through individual consultations (oneonone meetings interviews etc) or
through a panel format (focus groups surveys etc)
13222 Meetings
Meetings should be held with experts and the project team to define the required engagement levels of all
stakeholders This information can be used to prepare the stakeholder management plan
13223 Analytical Techniques
The current engagement level of all stakeholders needs to be compared to the planned engagement levels
required for successful project completion Stakeholder engagement throughout the life cycle of the project is
critical to project success
The engagement level of the stakeholders can be classified as follows
• Unaware Unaware of project and potential impacts
• Resistant Aware of project and potential impacts and resistant to change
• Neutral Aware of project yet neither supportive nor resistant
• Supportive Aware of project and potential impacts and supportive to change
• Leading Aware of project and potential impacts and actively engaged in ensuring the project is
a success
The current engagement can be documented using Stakeholders Engagement Assessment Matrix as shown in
Figure 137 where C indicates the current engagement and D indicates the desired engagement The project team
needs to identify the desired engagement level for the current phase of the project based on available information
The example in Figure 137 shows that stakeholder 3 is at the desired engagement level while stakeholders
1 and 2 require further communications and additional actions to move them to the desired level of engagement403©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13
LeadingNeutralResistantUnawareStakeholder Supportive
Stakeholder 1
Stakeholder 2
Stakeholder 3
C
C
D
D
D C
Figure 137 Stakeholders Engagement Assessment Matrix
Through this analytical process gaps between the current and desired engagement levels can be identified
Actions and communications required to close these gaps can be identified by the project team using expert
judgment
1323 Plan Stakeholder Management Outputs
13231 Stakeholder Management Plan
The stakeholder management plan is a component of the project management plan (Section 4231) and
identifies the management strategies required to effectively engage stakeholders The stakeholder management
plan can be formal or informal highly detailed or broadly framed based on the needs of the project
In addition to the data gathered in the stakeholder register the stakeholder management plan often provides
• Desired and current engagement levels of key stakeholders
• Scope and impact of change to stakeholders
• Identified interrelationships and potential overlap between stakeholders
• Stakeholder communication requirements for the current project phase
• Information to be distributed to stakeholders including language format content and level of detail
• Reason for the distribution of that information and the expected impact to stakeholder engagement
• Time frame and frequency for the distribution of required information to stakeholders and
• Method for updating and refining the stakeholder management plan as the project progresses and
develops404 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
Project managers should be aware of the sensitive nature of the stakeholder management plan and take
appropriate precautions For example information on stakeholders who are resistant to the project can be potentially
damaging and due consideration should be given regarding the distribution of such information When updating
the stakeholder management plan the validity of underlying assumptions should be reviewed to ensure continued
accuracy and relevancy
13232 Project Documents Updates
Project documents that may be updated include but are not limited to
• Project schedule and
• Stakeholder register
133 Manage Stakeholder Engagement
Manage Stakeholder Engagement is the process of communicating and working with stakeholders to meet
their needsexpectations address issues as they occur and foster appropriate stakeholder engagement in project
activities throughout the project life cycle The key benefit of this process is that it allows the project manager
to increase support and minimize resistance from stakeholders significantly increasing the chances to achieve
project success The inputs tools and techniques and outputs of this process are depicted in Figure 138 Figure
139 depicts the data flow diagram of the process
Inputs Tools & Techniques Outputs
1 Stakeholder management
plan
2 Communications
management plan
3 Change log
4 Organizational process
assets
1 Communication methods
2 Interpersonal skills
3 Management skills
1 Issue log
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure 138 Manage Stakeholder Engagement Inputs Tools & Techniques and Outputs405©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13
Project Stakeholder Management
132
Plan
Stakeholder
Management
• Issue log
• Change requests
• Project
documents
updates
• Project
management
plan updates
• Stakeholder
management
plan
• Change log
• Communications
management
plan
• Organizational process
assets updates
• Organizational
process
assets
45
Perform
Integrated
Change Control
101
Plan
Communications
Management
45
Perform
Integrated
Change Control
42
Develop Project
Management
Plan
94
Manage
Project
Team
Enterprise
Organization
Project
Documents
133
Manage
Stakeholder
Engagement
103
Control
Communications
134
Control
Stakeholder
Engagement
Figure 139 Manage Stakeholder Engagement Data Flow Diagram
Manage Stakeholder Engagement involves activities such as
• Engaging stakeholders at appropriate project stages to obtain or confirm their continued commitment to
the success of the project
• Managing stakeholder expectations through negotiation and communication ensuring project goals are
achieved
• Addressing potential concerns that have not yet become issues and anticipating future problems that
may be raised by stakeholders Such concerns need to be identified and discussed as soon as possible
to assess associated project risks and
• Clarifying and resolving issues that have been identified406 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
Managing stakeholder engagement helps to increase the probability of project success by ensuring that
stakeholders clearly understand the project goals objectives benefits and risks This enables them to be active
supporters of the project and to help guide activities and project decisions By anticipating people’s reactions to the
project proactive actions can be taken to win support or minimize negative impacts
The ability of stakeholders to influence the project is typically highest during the initial stages and
gets progressively lower as the project progresses The project manager is responsible for engaging and
managing the various stakeholders in a project and may call upon the project sponsor to assist as needed
Active management of stakeholder involvement decreases the risk of the project failing to meet its goals and
objectives
1331 Manage Stakeholder Engagement Inputs
13311 Stakeholder Management Plan
Described in Section 13231 The stakeholder management plan provides guidance on how the various
stakeholders can be best involved in the project The stakeholder management plan describes the methods and
technologies used for stakeholder communication
This plan is used to determine the level of interactions of various stakeholders and—together with other
documents—helps define a strategy for identifying and managing stakeholders throughout the project life cycle
13312 Communications Management Plan
Described in Section 10131 The communications management plan provides guidance and information on
managing stakeholder expectations The information used includes but is not limited to
• Stakeholder communications requirements
• Information to be communicated including language format content and level of detail
• Reason for distribution of information
• Person or groups who will receive information and
• Escalation process407©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13
13313 Change Log
Described in Section 4532 A change log is used to document changes that occur during a project These
changes—and their impact on the project in terms of time cost and risk—are communicated to the appropriate
stakeholders
13314 Organizational Process Assets
Described in Section 214 The organizational process assets that can influence the Manage Stakeholder
Engagement process include but are not limited to
• Organizational communication requirements
• Issue management procedures
• Change control procedures and
• Historical information about previous projects
1332 Manage Stakeholder Engagement Tools and Techniques
13321 Communication Methods
Described in Section 10124 The methods of communication identified for each stakeholder in the
communications management plan are utilized during stakeholder engagement management Based on the
stakeholders’ communication requirements the project manager decides how when and which of these
communication methods are to be used in the project
13322 Interpersonal Skills
The project manager applies interpersonal skills to manage stakeholders’ expectations For example
• Building trust
• Resolving conflict
• Active listening and
• Overcoming resistance to change408 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13323 Management Skills
The project manager applies management skills to coordinate and harmonize the group toward accomplishing
the project objectives For example
• Facilitate consensus toward project objectives
• Influence people to support the project
• Negotiate agreements to satisfy the project needs and
• Modify organizational behavior to accept the project outcomes
1333 Manage Stakeholder Engagement Outputs
13331 Issue Log
Managing stakeholder engagement may result in the development of an issue log This log is updated as new
issues are identified and current issues are resolved
13332 Change Requests
Managing stakeholder engagement may result in a change request to the product or the project It may also
include corrective or preventive actions to the project itself or to the interaction with the impacted stakeholders as
appropriate
13333 Project Management Plan Updates
Elements of the project management plan that may be updated include but are not limited to the stakeholder
management plan This plan is updated when new or changed stakeholders requirements are identified For
example some communications may no longer be necessary an ineffective communication method may be
replaced by another method or a new communication requirement may be identified It is also updated as a result
of addressing concerns and resolving issues For example it may be determined that a stakeholder has additional
informational needs409©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13
13334 Project Documents Updates
Project documents that may be updated include but are not limited to the stakeholder register This is updated
as information on stakeholders change when new stakeholders are identified or if registered stakeholders are no
longer involved in or impacted by the project or other updates for specific stakeholders are required
13335 Organizational Process Assets Updates
The organizational process assets that may be updated include but are not limited to
• Stakeholder notifications Information may be provided to stakeholders about resolved issues approved
changes and general project status
• Project reports Formal and informal project reports describe project status and include lessons learned
issue logs project closure reports and outputs from other Knowledge Areas (Sections 412)
• Project presentations Information formally or informally provided by the project team to any or all
project stakeholders
• Project records Project records include correspondence memos meeting minutes and other
documents describing the project
• Feedback from stakeholders Information received from stakeholders concerning project operations
can be distributed and used to modify or improve future performance of the project
• Lessons learned documentation Documentation includes the root cause analysis of issues faced
reasoning behind the corrective action chosen and other types of lessons learned about stakeholder
management Lessons learned are documented and distributed and become part of the historical
database for both the project and the performing organization
134 Control Stakeholder Engagement
Control Stakeholder Engagement is the process of monitoring overall project stakeholder relationships and
adjusting strategies and plans for engaging stakeholders The key benefit of this process is that it will maintain
or increase the efficiency and effectiveness of stakeholder engagement activities as the project evolves and its
environment changes The inputs tools and techniques and outputs of this process are depicted in Figure 1310
Figure 1311 depicts the data flow diagram of the process410 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
Inputs Tools & Techniques Outputs
1 Project management plan
2 Issue log
3 Work performance data
4 Project documents
1 Information management
systems
2 Expert judgment
3 Meetings
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure 1310 Control Stakeholder Engagement Inputs Tools & Techniques and Outputs
Project Stakeholder Management
133
Manage
Stakeholder
Engagement
• Change
requests
• Work performance
information
• Organizational
process assets
updates
• Issue log
• Project management
plan updates
• Project management
plan
• Work
performance
data
• Project
documents
• Project documents updates
42
Develop Project
Management
Plan
43
Direct and
Manage Project
Work
44
Monitor and
Control Project
Work
45
Perform
Integrated
Change Control
Enterprise
Organization
Project
Documents
134
Control
Stakeholder
Engagement
Figure 1311 Control Stakeholder Engagement Data Flow Diagram
Stakeholder engagement activities are included in the stakeholder management plan and are executed during
the life cycle of the project Stakeholder engagement should be continuously controlled411©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13
1341 Control Stakeholder Engagement Inputs
13411 Project Management Plan
Described in Section 4231 The project management plan is used to develop the stakeholder management
plan as described in Section 13131 The information used to Control Stakeholder Engagement includes but is
not limited to
• The life cycle selected for the project and the processes that will be applied to each phase
• How work will be executed to accomplish the project objectives
• How human resources requirements will be met how roles and responsibilities reporting relationships
and staffing management will be addressed and structured for the project
• A change management plan that documents how changes will be monitored and controlled and
• Needs and techniques for communication among stakeholders
13412 Issue Log
Described in Section 13331 The issue log is updated as new issues are identified and current issues are
resolved
13413 Work Performance Data
Described in Section 4332 The work performance data are the primary observations and measurements
identified during activities being performed to carry out the project work Various measurements on project
activities and deliverables are collected during various controlling processes Data are often viewed as the
lowest level of abstraction from which information is derived by other processes
Examples of work performance data include reported percentage of work completed technical performance
measures start and finish dates of schedule activities number of change requests number of defects actual costs
actual durations etc
13414 Project Documents
Multiple project documents originating from initiation planning execution or control processes may be used as
supporting inputs for controlling stakeholder engagement These include but are not limited to412 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
• Project schedule
• Stakeholder register
• Issue log
• Change log and
• Project communications
1342 Control Stakeholder Engagement Tools and Techniques
13421 Information Management Systems
An information management system provides a standard tool for the project manager to capture store
and distribute information to stakeholders about the project cost schedule progress and performance It also
allows the project manager to consolidate reports from several systems and facilitate report distribution to
the project stakeholders Examples of distribution formats may include table reporting spreadsheet analysis
and presentations Graphical capabilities can be used to create visual representations of project performance
information
13422 Expert Judgment
To ensure comprehensive identification and listing of new stakeholders reassessment of current stakeholders
can be performed Input should be sought from groups or individuals with specialized training or subject matter
expertise such as
• Senior management
• Other units or individuals within the organization
• Identified key stakeholders
• Project managers who have worked on projects in the same area (directly or through lessons learned)
• Subject matter experts in the business or project area
• Industry groups and consultants and
• Professional and technical associations regulatory bodies and nongovernmental organizations
Expert judgment can be obtained through individual consultations (such as oneonone meetings or interviews)
or through a panel format (such as focus groups or surveys)413©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13
13423 Meetings
Status review meetings are used to exchange and analyze information about stakeholder engagement
1343 Control Stakeholder Engagement Outputs
13431 Work Performance Information
The work performance information is the performance data collected from various controlling processes
analyzed in context and integrated based on relationships across areas Thus work performance data have been
transformed into work performance information Data per se are not used in the decisionmaking process because
the meaning may be misinterpreted Information however is correlated and contextualized and provides a sound
foundation for project decisions
Work performance information is circulated through communication processes Examples of performance
information are status of deliverables implementation status for change requests and forecasted estimates to
complete
13432 Change Requests
Analysis of project performance and interactions with stakeholders often generates change requests These
change requests are processed through the Perform Integrated Change Control process (Section 45) as follows
• Recommended corrective actions include changes that bring the expected future performance of the
project in line with the project management plan and
• Recommended preventive actions can reduce the probability of incurring future negative project
performance
13433 Project Management Plan Updates
As stakeholders engage with the project the overall effectiveness of the stakeholder management strategy
can be evaluated As needed changes in approach or strategy are identified affected sections of the project
management plan may need to be updated to reflect these changes Elements of the project management plan that
may be updated include but are not limited to the414 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
• Change management plan
• Communications management plan
• Cost management plan
• Human resource management plan
• Procurement management plan
• Quality management plan
• Requirements management plan
• Risk management plan
• Schedule management plan
• Scope management plan and
• Stakeholder management plan
13434 Project Documents Updates
Project documents that may be updated include but are not limited to
• Stakeholder register This is updated as information on stakeholders change when new stakeholders
are identified or if registered stakeholders are no longer involved in or impacted by the project or other
updates for specific stakeholders are required
• Issue log This is updated as new issues are identified and current issues are resolved415©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
13 PROJECT STAKEHOLDER MANAGEMENT
13
13435 Organizational Process Assets Updates
The organizational process assets which may be updated include but are not limited to
• Stakeholder notifications Information may be provided to stakeholders about resolved issues approved
changes and general project status
• Project reports Formal and informal project reports describe project status and include lessons learned
issue logs project closure reports and outputs from other Knowledge Areas (Sections 412)
• Project presentations Information formally or informally provided by the project team to any or all
project stakeholders
• Project records Project records include correspondence memos meeting minutes and other documents
describing the project
• Feedback from stakeholders Information received from stakeholders concerning project operations
can be distributed and used to modify or improve future performance of the project
• Lessons learned documentation Documentation includes the root cause analysis of issues faced
reasoning behind the corrective action chosen and other types of lessons learned about stakeholder
management Lessons learned are documented and distributed so that they become part of the historical
database for both the project and the performing organization417©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
ANNEX A1
THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A project is a temporary endeavor undertaken to create a unique product service or result The temporary
nature of projects indicates a definite beginning and end The end is reached when the project’s objectives have
been achieved or when the project is terminated because its objectives will not or cannot be met or when the need
for the project no longer exists
Project management is the application of knowledge skills tools and techniques to project activities to meet
project requirements Project management is accomplished through the appropriate application and integration of
logically grouped project management processes
Managing a project typically includes
• Identifying requirements
• Addressing the various needs concerns and expectations of the stakeholders as the project is planned
and carried out
• Setting and maintaining active communication with stakeholders and
• Balancing the competing project constraints which include but are not limited to
○○ Scope
○○ Quality
○○ Schedule
○○ Budget
○○ Resources and
○○ Risks
The specific project circumstances will influence the constraints on which the project manager needs to focus
and require effective application and management of appropriate project management processes418 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A11 What is a Standard
The International Organization for Standardization (ISO) and others define a standard as a Document approved
by a recognized body that provides for common and repeated use rules guidelines or characteristics for products
processes or services with which compliance are not mandatory (ISO 9453) [11]
In October 1998 PMI was accredited as a standards developer by the American National Standards Institute
(ANSI) The processes outlined in this Annex which are described in the PMBOK® Guide – Fifth Edition provide the
standard for project management of a project
A12 Framework for this Standard
This standard describes the nature of project management processes in terms of the integration between the
processes their interactions and the purposes they serve For this standard it is assumed that the project the
project manager and the project team are assigned to the performing organization Project management processes
are grouped into five categories known as Project Management Process Groups (or Process Groups)
• Initiating Process Group Those processes performed to define a new project or a new phase of an
existing project by obtaining authorization to start the project or phase
• Planning Process Group Those processes required to establish the scope of the project refine the
objectives and define the course of action required to attain the objectives that the project was undertaken
to achieve
• Executing Process Group Those processes performed to complete the work defined in the project
management plan to satisfy the project specifications
• Monitoring and Controlling Process Group Those processes required to track review and regulate the
progress and performance of the project identify any areas in which changes to the plan are required
and initiate the corresponding changes
• Closing Process Group Those processes performed to finalize all activities across all Process Groups to
formally close the project or phase419©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Project Management Process Groups are linked by the outputs they produce The Process Groups are seldom
either discrete or onetime events they are overlapping activities that occur throughout the project The output of
one process generally becomes an input to another process or is a deliverable of the project subproject or project
phase Deliverables at the subproject or project level may be called incremental deliverables The Planning Process
Group provides the Executing Process Group with the project management plan and project documents and as
the project progresses it often creates updates to the project management plan and the project documents Figure
A11 illustrates how the Process Groups interact and shows the level of overlap at various times If the project is
divided into phases the Process Groups interact within each phase
Planning
Process
Group
Initiating
Process
Group
Executing
Process
Group
Monitoring
and Controlling
Process Group
Closing
Process
Group
Start Finish
TIME
Level of
Process
Interaction
Figure A11 Process Group Interactions in a Project
An example of this interaction would be the exit of a design phase which requires sponsor acceptance of the
design document Once it is available the design document provides the product description for the Planning and
Executing Process Groups in one or more subsequent phases When a project is divided into phases the Process
Groups are carried out as appropriate to effectively drive the project to completion in a controlled manner In
multiphase projects processes are repeated within each phase until the criteria for phase completion have been
satisfied420 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A13 Project Management Process Groups
The following sections identify and describe the five Project Management Process Groups required for any
project These five Process Groups have clear dependencies and are typically performed in each project and
highly interact with one another These five Process Groups are independent of application areas or industry focus
Individual Process Groups and individual processes are often iterated prior to completing the project and can have
interactions within a Process Group and among Process Groups The nature of these interactions varies from project
to project and may or may not be performed in a particular order
The process flow diagram Figure A12 provides an overall summary of the basic flow and interactions among
Process Groups and specific stakeholders The project management processes are linked by inputs and outputs
where the result or outcome of one process becomes the input to another process but not necessarily in the same
Process Group The Process Groups are not project phases In fact it is possible that all Process Groups could
be conducted within a phase As projects are separated into distinct phases or subcomponents such as concept
development feasibility study design prototype build or test etc all of the Process Groups would normally be
repeated for each phase or subcomponent along the lines explained above and illustrated in Figure A12421©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Initiating
Process
Group
Monitoring
and
Controlling
Process
Group
Planning
Process
Group
Executing
Process
Group
Closing
Process
Group
Project Initiator
or Sponsor
Enterprise
Organization
Customer
Sellers
• Project
management
plan
• Makeorbuy
decisions
• Source selection
criteria
• Deliverables
• Change requests
• Work performance information
• Selected sellers
• Accepted deliverables
• Procurement documentation
NOTE The darker dotted lines represent relationships between Process Groups the lighter dotted lines are external to the Process Groups
• Seller
proposals
• Procurement
contract award
• Requirements
• Teaming
agreements
• Organizational
process assets
• Enterprise
environmental
factors
• Stakeholder
register
• Stakeholder
management
strategy
• Project
charter
• Procurement
documents
• Project statement of work
• Business case
• Agreements
• Resource
calendars
• Final product
service or result
• Approved change
requests
• Quality control
measurements
• Performance reports
Project
Documents
Figure A12 Project Management Process Interactions422 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Table A11 reflects the mapping of the 47 project management processes into the 5 Project Management
Process Groups and the 10 Project Management Knowledge Areas
The project management processes are shown in the Process Group in which most of the activity takes place
For example when a process that normally takes place in the Planning Process Group is updated in the Executing
Process Group it is not considered a new process The iterative nature of project management means that processes
from any group may be used throughout the project life cycle For example executing a risk response may trigger
the Perform Quantitative Risk Analysis process to evaluate the impact423©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Table A11 Project Management Process Group and Knowledge Area Mapping
4 Project
Integration
Management
5 Project Scope
Management
6 Project Time
Management
7 Project Cost
Management
8 Project
Quality
Management
9 Project
Human Resource
Management
10 Project
Communications
Management
11 Project Risk
Management
12 Project
Procurement
Management
13 Project
Stakeholder
Management
Project Management Process Groups
Knowledge Areas Initiating
Process
Group
Closing
Process
Group
Monitoring
Process Group
Executing
Process
Group
Planning
Process
Group
41 Develop
Project Charter
131 Identify
Stakeholders
42 Develop Project
Management Plan
51 Plan Scope
Management
52 Collect
Requirements
53 Define Scope
54 Create WBS
61 Plan Schedule
Management
62 Define
Activities
63 Sequence
Activities
64 Estimate
Activity Resources
65 Estimate
Activity Durations
66 Develop
Schedule
71 Plan Cost
Management
72 Estimate Costs
73 Determine
Budget
81 Plan Quality
Management
91 Plan Human
Resource
Management
101 Plan
Communications
Management
111 Plan Risk
Management
112 Identify Risks
113 Perform
Qualitative Risk
Analysis
114 Perform
Quantitative Risk
Analysis
115 Plan Risk
Responses
121 Plan
Procurement
Management
132 Plan
Stakeholder
Management
43 Direct and
Manage Project
Work
82 Perform Quality
Assurance
92 Acquire Project
Team
93 Develop Project
Team
94 Manage Project
Team
102 Manage
Communications
122 Conduct
Procurements
133 Manage
Stakeholder
Engagement
44 Monitor and
Control Project
Work
45 Perform
Integrated Change
Control
55 Validate Scope
56 Control Scope
67 Control
Schedule
74 Control Costs
83 Control Quality
103 Control
Communications
116 Control Risks
123 Control
Procurements
134 Control
Stakeholder
Engagement
46 Close Project
or Phase
124 Close
Procurements
and Controlling424 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A14 Initiating Process Group
The Initiating Process Group consists of those processes performed to define a new project or a new phase
of an existing project by obtaining authorization to start the project or phase Within the Initiating processes the
initial scope is defined and initial financial resources are committed Internal and external stakeholders who will
interact and influence the overall outcome of the project are identified If not already assigned the project manager
will be selected This information is captured in the project charter and stakeholder register When the project
charter is approved the project becomes officially authorized Although the project management team may help
to write the project charter this standard assumes that business case assessment approval and funding are
handled external to the project boundaries (Figure A13) A project boundary is defined as the point in time that
a project or project phase is authorized to its completion The key purpose of this Process Group is to align the
stakeholders’ expectations with the project’s purpose give them visibility about the scope and objectives and show
how their participation in the project and it associated phases can ensure that their expectations are achieved
These processes help to set the vision of the project—what is needed to be accomplished
Large complex projects should be divided into separate phases In such projects the Initiating processes
are carried out during subsequent phases to validate the decisions made during the original Develop Project
Charter and Identify Stakeholders processes Performing the Initiating processes at the start of each phase
helps to keep the project focused on the business need that the project was undertaken to address The
success criteria are verified and the influence drivers and objectives of the project stakeholders are reviewed
A decision is then made as to whether the project should be continued delayed or discontinued
Involving the sponsors customers and other stakeholders during initiation creates a shared understanding of
success criteria reduces the overhead of involvement and generally improves deliverable acceptance customer
and other stakeholder satisfaction425©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Project
Boundaries
Project
Deliverables
Project
Records
End
Users
Process
Assets
Monitoring &
Controlling Processes
Planning
Processes
Initiating
Processes
Closing
Processes
Executing
Processes
Project
Inputs
Project
Initiator
Sponsor
Figure A13 Project Boundaries
Initiating processes may be performed at the organizational program or portfolio level and would then
be outside of the project’s level of control For example prior to commencing a project the need for high
level requirements may be documented as part of a larger organizational initiative A process of evaluating
alternatives may be utilized to determine the feasibility of the new undertaking Clear descriptions of the project
objectives may be developed including the reasons why a specific project is the best alternative to satisfy
the requirements The documentation for this decision may also contain the initial project scope statement
deliverables project duration and a forecast of the resources for the organization’s investment analysis As part
of the Initiating processes the project manager is given the authority to apply organizational resources to the
subsequent project activities
The dashed circular arrow indicates that the process is part of the
Project Integration Management Knowledge Area This Knowledge
Area coordinates and unifies the processes from the other
Knowledge Areas
Project Integration
Management
Project Stakeholder
Management
41
Develop Project
Charter
131
Identify
Stakeholders
Figure A14 Initiating Process Group426 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A141 Develop Project Charter
Develop Project Charter is the process of developing a document that formally authorizes the existence of a
project and provides the project manager with the authority to apply organizational resources to project activities
The key benefit of this process is a welldefined project start and project boundaries creation of a formal record of
the project and a direct way for senior management to formally accept and commit to the project The inputs and
outputs for this process are shown in Figure A15
Inputs Outputs
1 Project statement of work
2 Business case
3 Agreements
4 Enterprise environmental
factors
5 Organizational process
assets
1 Project charter
Figure A15 Develop Project Charter Inputs and Outputs
A142 Identify Stakeholders
Identify Stakeholders is the process of identifying the people groups or organizations that could impact or be
impacted by a decision activity or outcome of the project and analyzing and documenting relevant information
regarding their interests involvement interdependencies influence and potential impact on project success The
key benefit of this process is that it allows the project manager to identify the appropriate focus for each stakeholder
or group of stakeholders The inputs and outputs of this process are depicted in Figure A16
Inputs Outputs
1 Project charter
2 Procurement documents
3 Enterprise environmental
factors
4 Organizational process
assets
1 Stakeholder register
Figure A16 Identify Stakeholders Inputs and Outputs427©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A15 Planning Process Group
The Planning Process Group consists of those processes performed to establish the total scope of the
effort define and refine the objectives and develop the course of action required to attain those objectives
The Planning processes develop the project management plan and the project documents that will be used to
carry out the project The complex nature of project management may require the use of repeated feedback
loops for additional analysis As more project information or characteristics are gathered and understood
additional planning will likely be required Significant changes occurring throughout the project life cycle
trigger a need to revisit one or more of the planning processes and possibly some of the initiating processes
This progressive detailing of the project management plan is called progressive elaboration indicating that
planning and documentation are iterative and ongoing activities The key benefit of this Process Group is to
delineate the strategy and tactics as well as the course of action or a path to successfully complete the project
or phase When the Planning Process Group is well managed it is much easier to get stakeholder buyin and
engagement These processes describe how this will be done resulting in the desired objectives
The project management plan and project documents developed as outputs from the Planning Process Group
will explore all aspects of the scope time costs quality communications human resources risks procurements
and stakeholder management
Updates arising from approved changes during the project (generally during Monitoring and Controlling
processes and specifically during Direct and Manage Project Work process) may significantly impact parts of the
project management plan and the project documents Updates to these documents provide greater precision with
respect to schedule costs and resource requirements to meet the defined project scope
The project team seeks input and encourages involvement from all stakeholders when planning the project
and developing the project management plan and project documents Since the feedback and refinement process
cannot continue indefinitely procedures set by the organization dictate when the initial planning effort ends These
procedures will be affected by the nature of the project the established project boundaries appropriate monitoring
and controlling activities as well as the environment in which the project will be performed
Other interactions among the processes within the Planning Process Group are dependent upon the nature of
the project For example for some projects there will be little or no identifiable risks until after significant planning
has been done At that time the team might recognize that the cost and schedule targets are overly aggressive
thus involving considerably more risk than previously understood The results of the iterations are documented as
updates to the project management plan or to various project documents428 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
The Planning Process Group (Figure A17) includes the project management processes identified in Figures
A18 through A131 (see Sections A151 through A1524)
Project Cost
Management
73
Determine
Budget
72
Estimate
Costs
The dashed circular arrow indicates that the process is part of the Project
Integration Management Knowledge Area This Knowledge Area coordinates
and unifies the processes from the other Knowledge Areas
Project Integration
Management
42
Develop
Project
Management
Plan
Project Scope
Management
54
Create WBS
53
Define
Scope
Project Quality
Management
81
Plan Quality
ManagementProject Procurement
Management
121
Plan
Procurement
Management
Project Communications
Management
101
Plan
Communications
Management
Project Human
Resource Management
91
Develop Human
Resource
Management
Project Stakeholder
Management
132
Plan
Stakeholder
Management
Project Time
Management
52
Collect
Requirements
51
Plan Scope
Management
62
Define
Activities
61
Plan Schedule
Management
63
Sequence
Activities
64
Estimate Activity
Resources
65
Estimate Activity
Durations
66
Develop
Schedule
Project Risk
Management
112
Identify
Risks
111
Plan Risk
Management
113
Perform
Qualitative
Risk Analysis
115
Plan Risk
Responses
114
Perform
Quantitative
Risk Analysis
71
Plan Cost
Management
Figure A17 Planning Process Group429©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A151 Develop Project Management Plan
Develop Project Management Plan is the process of defining preparing and coordinating all subsidiary plans and
integrating them into a comprehensive project management plan The key benefit of this process is a central document
that defines the basis of all project work The inputs and outputs for this process are depicted in Figure A18
Inputs Outputs
1 Project charter
2 Outputs from other
processes
3 Enterprise environmental
factors
4 Organizational process
assets
1 Project management plan
Figure A18 Develop Project Management Plan Inputs and Outputs
A152 Plan Scope Management
Plan Scope Management is the process of creating a scope management plan that documents how the project
scope will be defined validated and controlled The key benefit of this process is that it provides guidance and
direction on how scope will be managed throughout the project The inputs and outputs of this process are depicted
in Figure A19
Inputs Outputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process
assets
1 Scope management plan
2 Requirements
management plan
Figure A19 Plan Scope Management Inputs and Outputs430 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A153 Collect Requirements
Collect Requirements is the process of determining documenting and managing stakeholder needs and
requirements to meet project objectives The key benefit of this process is that it provides the basis for defining
and managing the project scope including product scope The inputs and outputs of this process are depicted in
Figure A110
Inputs Outputs
1 Scope management plan
2 Requirements
management plan
3 Stakeholder management
plan
4 Project charter
5 Stakeholder register
1 Requirements
documentation
2 Requirements traceability
matrix
Figure A110 Collect Requirements Inputs and Outputs
A154 Define Scope
Define Scope is the process of developing a detailed description of the project and product The key benefit of
this process is that it describes the project service or result boundaries by defining which of the requirements
collected will be included in and excluded from the project scope The inputs and outputs of this process are
depicted in Figure A111
Inputs Outputs
1 Scope management plan
2 Project charter
3 Requirements
documentation
4 Organizational process
assets
1 Project scope statement
2 Project documents
updates
Figure A111 Define Scope Inputs and Outputs431©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A155 Create WBS
Create WBS is the process of subdividing project deliverables and project work into smaller more manageable
components The key benefit of this process is that it provides a structured vision of what has to be delivered The
inputs and outputs of this process are depicted in Figure A112
Inputs Outputs
1 Scope management plan
2 Project scope statement
3 Requirements
documentation
4 Enterprise environmental
factors
5 Organizational process
assets
1 Scope baseline
2 Project documents
updates
Figure A112 Create WBS Inputs and Outputs
A156 Plan Schedule Management
Plan Schedule Management is the process of establishing the policies procedures and documentation for
planning developing managing executing and controlling the project schedule The key benefit of this process is
that it provides guidance and direction on how the project schedule will be managed throughout the project The
inputs and outputs of this process are depicted in Figure A113
Inputs Outputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process
assets
1 Schedule management
plan
Figure A113 Plan Schedule Management Inputs and Outputs432 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A157 Define Activities
Define Activities is the process of identifying and documenting the specific actions to be performed to produce
the project deliverables The key benefit of this process is to break down work packages into activities that provide
a basis for estimating scheduling executing monitoring and controlling the project work The inputs and outputs
of this process are depicted in Figure A114
Inputs Outputs
1 Schedule management
plan
2 Scope baseline
3 Enterprise environmental
factors
4 Organizational process
assets
1 Activity list
2 Activity attributes
3 Milestone list
Figure A114 Define Activities Inputs and Outputs
A158 Sequence Activities
Sequence Activities is the process of identifying and documenting relationships among the project activities The
key benefit of this process is that it defines the logical sequence of work to obtain the greatest efficiency given all
project constraints The inputs and outputs of this process are depicted in Figure A115
Inputs Outputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Milestone list
5 Project scope statement
6 Enterprise environmental
factors
7 Organizational process
assets
1 Project schedule network
diagrams
2 Project documents
updates
Figure A115 Sequence Activities Inputs and Outputs433©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A159 Estimate Activity Resources
Estimate Activity Resources is the process of estimating the type and quantities of material human resources
equipment or supplies required to perform each activity The key benefit of this process is that it identifies the type
quantity and characteristics of resources required to complete the activity which allows more accurate cost and
duration estimates The inputs and outputs of this process are depicted in Figure A116
Inputs Outputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Resource calendars
5 Risk register
6 Activity cost estimates
7 Enterprise environmental
factors
8 Organizational process
assets
1 Activity resource
requirements
2 Resource breakdown
structure
3 Project documents
updates
Figure A116 Estimate Activity Resources Inputs and Outputs
A1510 Estimate Activity Durations
Estimate Activity Durations is the process of estimating the number of work periods needed to complete
individual activities with estimated resources The key benefit of this process is that it provides the amount of
time each activity will take to complete which is a major input into the Develop Schedule process The inputs and
outputs of this process are depicted in Figure A117434 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Activity resource
requirements
5 Resource calendars
6 Project scope statement
7 Risk register
8 Resource breakdown
structure
9 Enterprise environmental
factors
10 Organizational
process assets
1 Activity duration estimates
2 Project documents
updates
Figure A117 Estimate Activity Durations Inputs and Outputs
A1511 Develop Schedule
Develop Schedule is the process of analyzing activity sequences durations resource requirements and
schedule constraints to create the project schedule model The key benefit of this process is that by entering
schedule activities durations resources resource availabilities and logical relationships into the scheduling tool
it generates a schedule model with planned dates for completing project activities The inputs and outputs of this
process are depicted in Figure A118435©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Schedule management
plan
2 Activity list
3 Activity attributes
4 Project schedule network
diagrams
5 Activity resource
requirements
6 Resource calendars
7 Activity duration
estimates
8 Project scope statement
9 Risk register
10 Project staff assignments
11 Resource breakdown
structure
12 Enterprise environmental
factors
13 Organizational process
assets
1 Schedule baseline
2 Project schedule
3 Schedule data
4 Project calendars
5 Project management plan
updates
6 Project documents
updates
Figure A118 Develop Schedule Inputs and Outputs
A1512 Plan Cost Management
Plan Cost Management is the process that establishes the policies procedures and documentation for planning
managing expending and controlling project costs The key benefit of this process is that it provides guidance and
direction on how the project costs will be managed throughout the project The inputs and outputs of this process
are depicted in Figure A119436 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Project charter
3 Enterprise environmental
factors
4 Organizational process
assets
1 Cost management plan
Figure A119 Plan Cost Management Inputs and Outputs
A1513 Estimate Costs
Estimate Costs is the process of developing an approximation of the monetary resources needed to complete
project activities The key benefit of this process is that it determines the amount of cost required to complete
project work The inputs and outputs of this process are depicted in Figure A120
Inputs Outputs
1 Cost management plan
2 Human resource
management plan
3 Scope baseline
4 Project schedule
5 Risk register
6 Enterprise environmental
factors
7 Organizational process
assets
1 Activity cost estimates
2 Basis of estimates
3 Project documents
updates
Figure A120 Estimate Costs Inputs and Outputs437©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A1514 Determine Budget
Determine Budget is the process of aggregating the estimated costs of individual activities or work packages to
establish an authorized cost baseline The key benefit of this process is that it determines the cost baseline against
which project performance can be monitored and controlled The inputs and outputs of this process are depicted
in Figure A121
Inputs Outputs
1 Cost management plan
2 Scope baseline
3 Activity cost estimates
4 Basis of estimates
5 Project schedule
6 Resource calendars
7 Risk register
8 Agreements
9 Organizational process
assets
1 Cost baseline
2 Project funding
requirements
3 Project documents
updates
Figure A121 Determine Budget Inputs and Outputs
A1515 Plan Quality Management
Plan Quality Management is the process of identifying quality requirements andor standards for the project and
its deliverables and documenting how the project will demonstrate compliance with relevant quality requirements
The key benefit of this process is that it provides guidance and direction on how quality will be managed and
validated throughout the project The input and outputs of this process are depicted in Figure A122438 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Stakeholder register
3 Risk register
4 Requirements
documentation
5 Enterprise environmental
factors
6 Organizational process
assets
1 Quality management plan
2 Process improvement plan
3 Quality metrics
4 Quality checklists
5 Project documents
updates
Figure A122 Plan Quality Management Inputs and Outputs
A1516 Plan Human Resource Management
Plan Human Resource Management is the process of identifying and documenting project roles responsibilities
required skills reporting relationships and creating a staffing management plan The key benefit of this process
is that it establishes project roles and responsibilities project organization charts and the staffing management
plan including the timetable for staff acquisition and release The input and outputs of this process are depicted in
Figure A123
Inputs Outputs
1 Project management plan
2 Activity resource
requirements
3 Enterprise environmental
factors
4 Organizational process
assets
1 Human resource
management plan
Figure A123 Plan Human Resource Management Inputs and Outputs439©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A1517 Plan Communications Management
Plan Communications Management is the process of developing an appropriate approach and plan for project
communications based on stakeholder’s information needs and requirements and available organizational assets
The key benefit of this process is that it identifies and documents the approach to communicate most effectively
and efficiently with stakeholders The inputs and outputs of this process are depicted in Figure A124
Inputs Outputs
1 Project management plan
2 Stakeholder register
3 Enterprise environmental
factors
4 Organizational process
assets
1 Communications
management plan
2 Project documents
updates
Figure A124 Plan Communications Management Inputs and Outputs
A1518 Plan Risk Management
Plan Risk Management is the process of defining how to conduct risk management activities for a project
The key benefit of this process is that it ensures that the degree type and visibility of risk management are
commensurate with both the risks and the importance of the project to the organization The input and outputs of
this process are depicted in Figure A125
Inputs Outputs
1 Project management plan
2 Project charter
3 Stakeholder register
4 Enterprise environmental
factors
5 Organizational process
assets
1 Risk management plan
Figure A125 Plan Risk Management Inputs and Outputs440 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A1519 Identify Risks
Identify Risks is the process of determining which risks may affect the project and documenting their
characteristics The key benefit of this process is the documentation of existing risks and the knowledge and
ability it provides to the project team to anticipate events The inputs and outputs of this process are depicted in
Figure A126
Inputs Outputs
1 Risk management plan
2 Cost management plan
3 Schedule management
plan
4 Quality management plan
5 Human resource
management plan
6 Scope baseline
7 Activity cost estimates
8 Activity duration
estimates
9 Stakeholder register
10 Project documents
11 Procurement documents
12 Enterprise environmental
factors
13 Organizational process
assets
1 Risk register
Figure A126 Identify Risks Inputs and Outputs
A1520 Perform Qualitative Risk Analysis
Perform Qualitative Risk Analysis is the process of prioritizing risks for further analysis or action by assessing
and combining their probability of occurrence and impact The key benefit of this process is that it enables project
managers to reduce the level of uncertainty and to focus on highpriority risks The inputs and outputs of this
process are depicted in Figure A127441©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Risk management plan
2 Scope baseline
3 Risk register
4 Enterprise environmental
factors
5 Organizational process
assets
1 Project documents
updates
Figure A127 Perform Qualitative Risk Analysis Inputs and Outputs
A1521 Perform Quantitative Risk Analysis
Perform Quantitative Risk Analysis is the process of numerically analyzing the effect of identified risks on overall
project objectives The key benefit of this process is that it produces quantitative risk information to support decision
making in order to reduce project uncertainty The inputs and outputs of this process are depicted in Figure A128
Inputs Outputs
1 Risk management plan
2 Cost management plan
3 Schedule management
plan
4 Risk register
5 Enterprise environmental
factors
6 Organizational process
assets
1 Project documents
updates
Figure A128 Perform Quantitative Risk Analysis Inputs and Outputs442 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A1522 Plan Risk Responses
Plan Risk Responses is the process of developing options and actions to enhance opportunities and to reduce
threats to project objectives The key benefit of this process is that it addresses the risks by their priority inserting
resources and activities into the budget schedule and project management plan as needed The inputs and outputs
of this process are depicted in Figure A129
Inputs Outputs
1 Risk management plan
2 Risk register
1 Project management plan
updates
2 Project documents
updates
Figure A129 Plan Risk Responses Inputs and Outputs
A1523 Plan Procurement Management
Plan Procurement Management is the process of documenting project procurement decisions specifying the
approach and identifying potential sellers The key benefit of this process is that it determines whether to acquire
outside support and if so what to acquire how to acquire it how much is needed and when to acquire it The
inputs and outputs of this process are depicted in Figure A130443©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Requirements
documentation
3 Risk register
4 Activity resource
requirements
5 Project schedule
6 Activity cost estimates
7 Stakeholder register
8 Enterprise environmental
factors
9 Organizational process
assets
1 Procurement management
plan
2 Procurement statement
of work
3 Procurement documents
4 Source selection criteria
5 Makeorbuy decisions
6 Change requests
7 Project documents
updates
Figure A130 Plan Procurement Management Inputs and Outputs
A1524 Plan Stakeholder Management
Plan Stakeholder Management is the process of developing appropriate management strategies to effectively
engage stakeholders throughout the project life cycle based on the analysis of their needs interests and potential
impact on project success The key benefit of this process is that it provides a clear actionable plan to interact
with project stakeholders to support the project’s interests The inputs and outputs of this process are depicted in
Figure A131
Inputs Outputs
1 Project management plan
2 Stakeholder register
3 Enterprise environmental
factors
4 Organizational process
assets
1 Stakeholder management
plan
2 Project documents
updates
Figure A131 Plan Stakeholder Management Inputs and Outputs444 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A16 Executing Process Group
The Executing Process Group consists of those processes performed to complete the work defined in the
project management plan to satisfy the project specifications This Process Group involves coordinating people and
resources managing stakeholder expectations as well as integrating and performing the activities of the project in
accordance with the project management plan (Figure A132)
During project execution results may require planning updates and rebaselining This can include changes
to expected activity durations changes in resource productivity and availability and unanticipated risks Such
variances may affect the project management plan or project documents and may require detailed analysis
and development of appropriate project management responses The results of the analysis can trigger change
requests that if approved may modify the project management plan or other project documents and possibly
require establishing new baselines A large portion of the project’s budget will be expended in performing
the Executing Process Group processes The Executing Process Group (Figure A132) includes the project
management processes identified in Figures A133 through A140 (see Sections A161 through A168)445©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
The dashed circular arrow indicates that the process is part of the Project Integration Management Knowledge
Area This Knowledge Area coordinates and unifies the processes from the other Knowledge Areas
Project Integration
Management
43
Direct and
Manage
Project
Work
Project Quality
Management
82
Perform Quality
Assurance
Project Stakeholder
Management
133
Manage
Stakeholder
Engagement
Project Procurement
Management
122
Conduct
Procurements
Project Human
Resource Management
94
Manage
Project Team
Project Communications
Management
102
Manage
Communications
93
Develop
Project Team
92
Acquire
Project Team
Figure A132 Executing Process Group
A161 Direct and Manage Project Work
Direct and Manage Project Work is the process of leading and performing the work defined in the project
management plan and implementing approved changes to achieve the project’s objectives The key benefit of this
process is that it provides overall management of the project work The inputs and outputs of this process are
depicted in Figure A133446 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Approved change
requests
3 Enterprise environmental
factors
4 Organizational process
assets
1 Deliverables
2 Work performance data
3 Change requests
4 Project management plan
updates
5 Project documents
updates
Figure A133 Direct and Manage Project Work Inputs and Outputs
A162 Perform Quality Assurance
Perform Quality Assurance is the process of auditing the quality requirements and the results from quality
control measurements to ensure that appropriate quality standards and operational definitions are used The key
benefit of this process is it facilitates the improvement of quality processes The input and outputs of this process
are depicted in Figure A134
Inputs Outputs
1 Quality management plan
2 Process improvement plan
3 Quality metrics
4 Quality control
measurements
5 Project documents
1 Change requests
2 Project management plan
updates
3 Project documents
updates
4 Organizational process
assets updates
Figure A134 Perform Quality Assurance Inputs and Outputs447©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A163 Acquire Project Team
Acquire Project Team is the process of confirming human resource availability and obtaining the team necessary
to complete project activities The key benefit of this process consists of outlining and guiding the team selection
and responsibility assignment to obtain a successful team The inputs and outputs of this process are depicted in
Figure A135
Inputs Outputs
1 Human resource
management plan
2 Enterprise environmental
factors
3 Organizational process
assets
1 Project staff assignments
2 Resource calendars
3 Project management plan
updates
Figure A135 Acquire Project Team Inputs and Outputs
A164 Develop Project Team
Develop Project Team is the process of improving competencies team member interaction and overall team
environment to enhance project performance The key benefit of this process is that it results in improved teamwork
enhanced people skills and competencies motivated employees reduced staff turnover rates and improved overall
project performance The inputs and outputs of this process are depicted in Figure A136
Inputs Outputs
1 Human resource
management plan
2 Project staff assignments
3 Resource calendars
1 Team performance
assessments
2 Enterprise environmental
factors updates
Figure A136 Develop Project Team Inputs and Outputs448 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A165 Manage Project Team
Manage Project Team is the process of tracking team member performance providing feedback resolving
issues and managing team changes to optimize project performance The key benefit of this process is that it
influences team behavior manages conflict resolves issues and appraises team member performance The inputs
and outputs of this process are depicted in Figure A137
Inputs Outputs
1 Human resource
management plan
2 Project staff assignments
3 Team performance
assessments
4 Issue log
5 Work performance reports
6 Organizational process
assets
1 Change requests
2 Project management plan
updates
3 Project documents
updates
4 Enterprise environmental
factors updates
5 Organizational process
assets updates
Figure A137 Manage Project Team Inputs and Outputs
A166 Manage Communications
Manage Communications is the process of creating collecting distributing storing retrieving and the ultimate
disposition of project information in accordance with the communications management plan The key benefit of this
process is that it enables an efficient and effective communications flow between project stakeholders The inputs
and outputs of this process are depicted in Figure A138
Inputs Outputs
1 Communications
management plan
2 Work performance reports
3 Enterprise environmental
factors
4 Organizational process
assets
1 Project communications
2 Project management plan
updates
3 Project documents
updates
4 Organizational process
assets updates
Figure A138 Manage Communications Inputs and Outputs449©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A167 Conduct Procurements
Conduct Procurements is the process of obtaining seller responses selecting a seller and awarding a contract
The key benefit of this process is that it provides alignment of internal and external stakeholder expectations
through established agreements The inputs and outputs of this process are depicted in Figure A139
Inputs Outputs
1 Procurement management
plan
2 Procurement documents
3 Source selection criteria
4 Seller proposals
5 Project documents
6 Makeorbuy decisions
7 Procurement statement of
work
8 Organizational process
assets
1 Selected sellers
2 Agreements
3 Resource calendar
4 Change requests
5 Project management plan
updates
6 Project documents
updates
Figure A139 Conduct Procurements Inputs and Outputs
A168 Manage Stakeholder Engagement
Manage Stakeholder Engagement is the process of communicating and working with stakeholders to meet
their needsexpectations address issues as they occur and foster appropriate stakeholder engagement in project
activities throughout the project life cycle The key benefit of this process is that it allows the project manager
to increase support and minimize resistance from stakeholders significantly increasing the chances to achieve
project success The inputs and outputs of this process are depicted in Figure A140450 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Stakeholder management
plan
2 Communications
management plan
3 Change log
4 Organizational process
assets
1 Issue log
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure A140 Manage Stakeholder Engagement Inputs and Outputs
A17 Monitoring and Controlling Process Group
The Monitoring and Controlling Process Group consists of those processes required to track review and
orchestrate the progress and performance of the project identify any areas in which changes to the plan are
required and initiate the corresponding changes The key benefit of this Process Group is that project performance
is measured and analyzed at regular intervals appropriate events or exception conditions to identify variances from
the project management plan The Monitoring and Controlling Process Group also involves
• Controlling changes and recommending corrective or preventive action in anticipation of possible
problems
• Monitoring the ongoing project activities against the project management plan and the project performance
measurement baseline and
• Influencing the factors that could circumvent integrated change control or configuration management so
only approved changes are implemented451©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
This continuous monitoring provides the project team insight into the health of the project and identifies
any areas requiring additional attention The Monitoring and Controlling Process Group not only monitors and
controls the work being done within a Process Group but also monitors and controls the entire project effort
In multiphase projects the Monitoring and Controlling Process Group coordinates project phases in order to
implement corrective or preventive actions to bring the project into compliance with the project management
plan This review can result in recommended and approved updates to the project management plan For
example a missed activity finish date may require adjustments and tradeoffs between budget and schedule
objectives In order to reduce control overheads management by exception procedures and other techniques
can be appropriately considered The Monitoring and Controlling Process Group (Figure A141) includes the
following project management processes (Sections A171 through A1711)
The dashed circular arrow indicates that the process is part of the Project Integration Management Knowledge
Area This Knowledge Area coordinates and unifies the processes from the other Knowledge Areas
Project Integration
Management
44
Monitor and
Control
Project Work
45
Perform
Integrated
Change Control
Project Scope
Management
56
Control
Scope
55
Validate
Scope
Project Quality
Management
83
Control
Quality
Project Stakeholder
Management
134
Control
Stakeholder
Engagement
Project Cost
Management
74
Control
Costs
Project Procurement
Management
123
Control
Procurements
Project Risk
Management
116
Control Risks
Project Communications
Management
1035
Control
Communications
Project Time
Management
67
Control
Schedule
Figure A141 Monitoring and Controlling Process Group452 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A171 Monitor and Control Project Work
Monitor and Control Project Work is the process of tracking reviewing and reporting the progress to meet the
performance objectives defined in the project management plan The key benefit of this process is that it allows
stakeholders to understand the current state of the project the steps taken and budget schedule and scope
forecasts The inputs and outputs for this process are depicted in Figure A142
Inputs Outputs
1 Project management plan
2 Schedule forecasts
3 Cost forecasts
4 Validated changes
5 Work performance
information
6 Enterprise environmental
factors
7 Organizational process
assets
1 Change requests
2 Work performance reports
3 Project management plan
updates
4 Project documents
updates
Figure A142 Monitor and Control Project Work Inputs and Outputs
A172 Perform Integrated Change Control
Perform Integrated Change Control is the process of reviewing all change requests approving changes
and managing changes to deliverables organizational process assets project documents and the project
management plan and communicating their disposition It reviews all requests for changes or modifications to
project documents deliverables baselines or the project management plan and approves or rejects the changes
The key benefit of this process is that it allows for documented changes within the project to be considered in
an integrated fashion while reducing project risk which often arises from changes made without consideration
to the overall project objectives or plans The inputs and outputs of this process are depicted in Figure A143453©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Work performance reports
3 Change requests
4 Enterprise environmental
factors
5 Organizational process
assets
1 Approved change
requests
2 Change log
3 Project management plan
updates
4 Project documents
updates
Figure A143 Perform Integrated Change Control Inputs and Outputs
A173 Validate Scope
Validate Scope is the process of formalizing acceptance of the completed project deliverables The key benefit
of this process is that it brings objectivity to the acceptance process and increases the chance of final product
service or result acceptance by validating each deliverable The inputs and outputs of this process are depicted in
Figure A144
Inputs Outputs
1 Project management plan
2 Requirements
documentation
3 Requirements traceability
matrix
4 Verified deliverables
5 Work performance data
1 Accepted deliverables
2 Change requests
3 Work performance
information
4 Project documents
updates
Figure A144 Validate Scope Inputs and Outputs454 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A174 Control Scope
Control Scope is the process of monitoring the status of the project and product scope and managing changes to
the scope baseline The key benefit of this process is that it allows the scope baseline to be maintained throughout
the project The inputs and outputs of this process are depicted in Figure A145
Inputs Outputs
1 Project management plan
2 Requirements
documentation
3 Requirements traceability
matrix
4 Work performance data
5 Organizational process
assets
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure A145 Control Scope Inputs and Outputs
A175 Control Schedule
Control Schedule is the process of monitoring the status of project activities to update project progress and
manage changes to the schedule baseline to achieve the plan The key benefit of this process is that it provides the
means to recognize deviation from the plan and take corrective and preventive actions and thus minimize risk The
inputs and outputs of this process are depicted in Figure A146455©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Project schedule
3 Work performance data
4 Project calendars
5 Schedule data
6 Organizational process
assets
1 Work performance
information
2 Schedule forecasts
3 Change requests
4 Project management plan
updates
5 Project documents
updates
6 Organizational process
assets updates
Figure A146 Control Schedule Inputs and Outputs
A176 Control Costs
Control Costs is the process of monitoring the status of the project to update the project costs and managing
changes to the cost baseline The key benefit of this process is that it provides the means to recognize variance
from the plan in order to take corrective action and minimize risk The inputs and outputs of this process are
depicted in Figure A147
Inputs Outputs
1 Project management plan
2 Project funding
requirements
3 Work performance data
4 Organizational process
assets
1 Work performance
information
2 Cost forecasts
3 Change requests
4 Project management plan
updates
5 Project documents
updates
6 Organizational process
assets updates
Figure A147 Control Costs Inputs and Outputs456 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A177 Control Quality
Control Quality is the process of monitoring and recording results of executing the quality activities to assess
performance and recommend necessary changes The key benefits of this process include (1) identifying the
causes of poor process or product quality and recommending andor taking action to eliminate them and (2)
validating that project deliverables and work meet the requirements specified by key stakeholders necessary for
final acceptance The inputs and outputs of this process are depicted in Figure A148
Inputs Outputs
1 Project management plan
2 Quality metrics
3 Quality checklists
4 Work performance data
5 Approved change
requests
6 Deliverables
7 Project documents
8 Organizational process
assets
1 Quality control
measurements
2 Validated changes
3 Verified deliverables
4 Work performance
information
5 Change requests
6 Project management plan
updates
7 Project documents
updates
8 Organizational process
assets updates
Figure A148 Control Quality Inputs and Outputs
A178 Control Communications
Control Communications is the process of monitoring and controlling communications throughout the entire
project life cycle to ensure the information needs of the project stakeholders are met The key benefit of this process
is that it ensures an optimal information flow among all communication participants at any moment in time The
inputs and outputs of this process are depicted in Figure A149457©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Project communications
3 Issue log
4 Work performance data
5 Organizational process
assets
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure A149 Control Communications Inputs and Outputs
A179 Control Risks
Control Risks is the process of implementing risk response plans tracking identified risks monitoring residual
risks identifying new risks and evaluating risk process effectiveness throughout the project The key benefit of this
process is that it improves efficiency of the risk approach throughout the project life cycle to continuously optimize
risk responses The inputs and outputs of this process are depicted in Figure A150
Inputs Outputs
1 Project management plan
2 Risk register
3 Work performance data
4 Work performance reports
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure A150 Control Risks Inputs and Outputs458 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
A1710 Control Procurements
Control Procurements is the process of managing procurement relationships monitoring contract performance
and making changes and corrections to contracts as appropriate The key benefit of this process is that it ensures
that both the seller’s and buyer’s performance meets procurement requirements according to the terms of the legal
agreement The inputs and outputs of this process are depicted in Figure A151
Inputs Outputs
1 Project management plan
2 Procurement documents
3 Agreements
4 Approved change
requests
5 Work performance reports
6 Work performance data
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure A151 Control Procurements Inputs and Outputs
A1711 Control Stakeholder Engagement
Control Stakeholder Engagement is the process of monitoring overall project stakeholder relationships and
adjusting strategies and plans for engaging stakeholders The key benefit of this process is that it will maintain
or increase the efficiency and effectiveness of stakeholder engagement activities as the project evolves and its
environment changes The inputs and outputs of this process are depicted in Figure A152459©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Issue log
3 Work performance data
4 Project documents
1 Work performance
information
2 Change requests
3 Project management plan
updates
4 Project documents
updates
5 Organizational process
assets updates
Figure A152 Control Stakeholder Engagement Inputs and Outputs
A18 Closing Process Group
The Closing Process Group consists of those processes performed to conclude all activities across all Project
Management Process Groups to formally complete the project phase or contractual obligations This Process
Group when completed verifies that the defined processes are completed within all the Process Groups to close
the project or a project phase as appropriate and formally establishes that the project or project phase is complete
This Process Group also formally establishes the premature closure of the project Prematurely closed projects
may include for example aborted projects cancelled projects and projects in a critical situation In specific cases
when some contracts cannot be formally closed (eg claims ending clauses etc) or some activities are to be
transferred to other organizational units specific handover procedures may be arranged and finalized
At project or phase closure the following may occur
• Obtain acceptance by the customer or sponsor to formally close the project or phase
• Conduct postproject or phaseend review
• Record impacts of tailoring to any process
• Document lessons learned460 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
• Apply appropriate updates to organizational process assets
• Archive all relevant project documents in the project management information system (PMIS) to be used
as historical data
• Close out all procurements activities ensuring termination of all relevant agreements and
• Perform team members’ assessment and release project resources
The Closing Process Group (Figure A153) includes the following project management processes (See
Sections A181 and A182)
The dashed circular arrow indicates that the process is part of the
Project Integration Management Knowledge Area This Knowledge
Area coordinates and unifies the processes from the other
Knowledge Areas
Project Integration
Management
Project Procurement
Management
46
Close Project
or Phase
124
Close
Procurements
Figure A153 Closing Process Group
A181 Close Project or Phase
Close Project or Phase is the process of finalizing all activities across all of the Project Management Process
Groups to formally complete the project or phase The key benefit of this process is that it provides lessons learned
the formal ending of project work and the release of organization resources to pursue new endeavors The inputs
and outputs of this process are depicted in Figure A154461©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
ANNEX A1 THE STANDARD FOR PROJECT MANAGEMENT OF A PROJECT
Inputs Outputs
1 Project management plan
2 Accepted deliverables
3 Organizational process
assets
1 Final product service or
result transition
2 Organizational process
assets updates
Figure A154 Close Project or Phase Inputs and Outputs
A182 Close Procurements
Close Procurements is the process of completing each procurement The key benefit of this process is that it
documents agreements and related documentation for future reference The inputs and outputs of this process are
depicted in Figure A155
Inputs Outputs
1 Project management plan
2 Procurement documents
1 Closed procurements
2 Organizational process
assets updates
Figure A155 Close Procurements Inputs and Outputs463©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
APPENDIX X1
FIFTH EDITION CHANGES
The purpose of this appendix is to give a detailed explanation of the changes made to A Guide to the Project
Management Body of Knowledge (PMBOK® Guide)—Fourth Edition to create the PMBOK® Guide—Fifth Edition
X11 Scope of Update
The approved scope for the PMBOK® Guide – Fifth Edition explicitly states
• Comments and feedback both deferred during the development of the PMBOK® Guide – Fourth Edition
and received by PMI since its development will be reviewed and determined whether material will be
included or excluded in the new edition
• Review all text and graphics in the document to make sure the information is accurate clear complete
and relevant revising as necessary
• Review interpret and ensure appropriate alignment with ISO 21500 [12] in the development of the standard
• Ensure harmonization with any other relevant PMI standards
• Consider project management role delineation study results as appropriate
• Reposition Section 3 (The Standard for Project Management) as a standalone ANSIapproved standard
included within the Fifth Edition as an Appendix or attachment
• Standard is written for project management practitioners and other stakeholders of the project
management profession
• Standard describes the principles and processes that shape the practices that are unique to projects
• Standard ensures that any terminology contained within the PMI Lexicon is represented consistently and
identically in the standard
With that directive in mind the update team adopted an approach aimed at achieving a greater degree of
consistency and clarity by refining the processes standardizing inputs and outputs where possible and implementing
a global approach for documenting the inputs and outputs464 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
Along with a focus on consistency and clarity the update team worked to complete the requirements for
factoring feedback received for the PMBOK® Guide – Fourth Edition and ensure alignment and harmonization with
relevant PMI standards ISO 21500 PMI Lexicon of Project Management Terms and the PMI role delineation study
for project managers
X12 Rules for Handling Inputs Tools and Techniques and Outputs (ITTOs)
Business rules were established to further aid consistency in handling the order and detail of information within
the ITTOs for each project management process These rules are
• ITTO Fundamental Rules
○○ Inputs are any documents that are key to the process
○○ Process outputs should map as an input to another project management process unless the
output is a terminal output or embedded within another input such as process documents
○○ Process inputs should map as an output from another project management process unless the
input comes from outside the project
• Project Documents Rules
○○ On the ITTO input list if the input is a major project document it needs to be specifically listed
out
○○ On the ITTO output list specific project documents are put on the list the first time they are
created as an output Subsequently these are listed as project document updates on the ITTO
output list and described in the section narrative
• Project Management Plan Rules
○○ On the ITTO input list if the subsidiary plans and baselines from the project management plan
serve as major process inputs then these need to be specifically listed out
○○ On the ITTO output list subsidiary plans and baselines for the project management plan are
grouped as a single output as project management plan updates and described in the section
narrative
○○ On the ITTO input list for those planning processes that create a subsidiary plan the project
management plan is listed as the key input
○○ For control processes the key input is project management plan rather than specific subsidiary
plans And the output is project management plan updates rather than an update to a specific
subsidiary plan465©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
• EEFOPA Referencing Rule for Process Inputs
○○ When referencing EEFs or OPAs include the phrase Described in Section and state 214 for
OPAs or 215 for EEFs
• Other Consistency Rules
○○ Rename project document update and organizational process asset updates to project
documents updates and organizational process assets updates
○○ For consistency across the PMBOK® Guide document titles are not to be capitalized in the text
• Sequencing Rules
○ For inputs and outputs plans subsidiary plans and baselines are listed first
○ Project management plan first then subsidiary plans then baselines
○ When plans are a major output they are always listed first
○○ For inputs work performance datainformationreports these are listed immediately before the
enterprise environmental factors
○○ Enterprise environmental factors and organizational process assets are listed last in that order
○○ Tools and techniques have meetings listed last
○○ When updates are an output they are listed in the following sequence
○ Project management plansubsidiary plan updates
○ Project documents updates
○ Enterprise environmental factors updates and
○ Organizational process assets updates
X13 Established Rules for Ensuring Harmonization Between Glossary Terms
and the PMI Lexicon of Project Management Terms
To ensure that terms used in the PMBOK® Guide align with the PMI Lexicon of Project Management Terms and
harmonize with other PMI standards business rules were established and adhered to in the Fifth Edition update466 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
• For terms found in both the PMBOK® Guide and the PMI Lexicon the definition from the PMI Lexicon takes
precedence
• Where terms used in the PMBOK® Guide are not found in the PMI Lexicon but are found in other relevant
PMI standards (eg The Standard for Program Management Organizational Project Management
Maturity Model (OPM3®) The Standard for Portfolio Management Practice Standard for Earned Value
Management Practice Standard for Scheduling etc) the definition of the terms shall be the same If the
definitions do not align with the respective standards the term is elevated to the PMI Lexicon team for
assistance in creating an acceptable common definition
X14 Project Management Plan and Its Subsidiary Plans
To improve consistency and aid clarity around the various subsidiary plans that make up the overall project
management plan the team added four planning processes Plan Scope Management Plan Schedule Management
Plan Cost Management and Plan Stakeholder Management These changes bring back the scope planning process
from the Third Edition and add three new planning processes The additions provide clearer guidance for the
concept that each major Knowledge Area has a need for the project team to actively think through and plan how
aspects from the related processes are planned and managed It also reinforces the concept that each of the
subsidiary plans are integrated through the overall project management plan which becomes the major planning
document for guiding further project planning and execution
This change also ensures harmonization with other PMI standards For example a detailed planning process
for Plan Schedule Management reinforces the need for detailed planning to address project scheduling issues
such as selecting the scheduling method and tool during early planning stages as part of the overall Project Time
Management processes This concept of detailed planning for project scheduling related decisions aligns with the
Practice Standard for Scheduling and ensures harmonization across PMI standards
X15 Consistency in Handling Project Management Work Execution Data and
Information Flow
To improve consistency and add clarity regarding project data and information flows during project work
execution the team redefined work performance data work performance information and work performance
reports to align with the DIKW (Data Information Knowledge Wisdom) model used in the field of Knowledge
Management467©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
• Work Performance Data The raw observations and measurements identified during activities performed
to carry out the project work Examples include reported percent of work physically completed quality
technical performance measures start and finish dates of schedule activities number of change requests
number of defects actual costs actual durations etc
• Work Performance Information The performance data collected from various controlling processes
analyzed in context and integrated based on relationships across areas Examples of performance
information are status of deliverables implementation status for change requests forecasted estimates
to complete
• Work Performance Reports The physical or electronic representation of work performance information
compiled in project documents intended to generate decisions raise issues actions or awareness
Examples include status reports memos justifications information notes electronic dashboards
recommendations and updates
The redefined data model was then applied consistently to the inputs and outputs for the various controlling and
executing processes as illustrated in Figure X11
Direct and
Manage
Project Work
Validate
Scope
Control
Scope
Control
Schedule
Control
Costs
Control
Quality
Control
Communi
cations
Control
Procure
ments
Control
Risks
Control
Stakeholder
Engagement
Work
performance
data
Monitor and
Control
Project Work
Work
performance
reports
Work
performance
information
Project document updates
Project plan updates
Change requests
Perform
Integrated
Change Control
Develop Project
Management
Plan
Manage
Communications
Manage
Project
Team
Figure X11 Refined Data Model468 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X16 Section 1—Introduction
Sections 12 14 and 16 were realigned and harmonized with first sections in The Standard for Program
Management – Third Edition and The Standard for Portfolio Management – Third Edition This ensures the
information regarding the relationship between projects programs and portfolios is treated consistently across
all three standards Additional text was added to Section 144 to expand the discussion on project management
offices Section 15 on Project Management and Operations Management was expanded to more broadly address
the relationship among project management operations management and organizational strategy A new section
was added to address the importance of interpersonal skills of a project manager and refers the reader to Appendix
X3 of the PMBOK® Guide for further discussion on the importance of interpersonal skills in managing projects
Section 18 on Enterprise Environmental Factors was moved to Section 2
X17 Section 2—Project Life Cycle and Organization
The content of Section 2 was reorganized to improve content flow and understanding The section on
organizational influence on project management was moved to the beginning of the section and expanded to
provide broader coverage of how organizational factors can influence the conduct of project teams The discussion
of enterprise environmental factors was moved into this section from Section 1 The section on stakeholders was
expanded to better address project stakeholders and their impact on project governance A new section was added
to address the characteristics and structure of the project team The section on project life cycle was moved to the
end of the section and expanded to further explain life cycles and phases
X18 Section 3 Project Management Processes for a Project
Section 3 of the PMBOK® Guide – Fourth Edition was moved into a new Annex in the PMBOK® Guide – Fifth
Edition (Annex A1 – The Standard for Project Management of a Project) The introduction to this section was
cleaned up and expanded to enable this annex to serve as a standalone document This positions the Standard for
Project Management away from the main body of the PMBOK® Guide material allowing the evolution of the Body of
Knowledge material to be separate from the actual Standard for Project Management469©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X19 New Section 3 for PMBOK® Guide – Fifth Edition
A replacement Section 3 was developed for the PMBOK® Guide – Fifth edition This new section bridges the
content between Sections 1 and 2 and the Knowledge Area sections The new section introduces the project
management processes and Process Groups as in the previous editions of the PMBOK® Guide However it does not
list each of the processes associated with each of the Project Management Process Groups
X110 Split Section 10 on Project Communications Management into Two
Separate Sections
Deferred and postpublication comments on the Project Communications Knowledge Area of the PMBOK® Guide
– Fourth Edition uncovered a need to modify this Knowledge Area as well as the processes within the Knowledge
Area In general the comments fell into three groups
• Eliminate confusion created between the processes of Distribute Information and Report Performance
and their overlap with processes for Control Scope Control Schedule and Control Cost
• Tighten the focus of Project Communications Management to planning for the communications needs
of the project collecting storing and disseminating project information and monitoring overall project
communications to ensure its efficiency
• Break out and expand on stakeholder management concepts to reflect not solely upon (a) analyzing
stakeholder expectations and its impact on the project and (b) developing appropriate management
strategies for effectively engaging stakeholders in project decisions and execution but also upon
continuous dialogue with stakeholders to meet their needs and expectations address issues as they
occur and foster appropriate stakeholder engagement in project decisions and activities
Planning for and managing the communication needs of the project as well as the stakeholders’ needs are
two distinct keys to project success The concept being reinforced is that both are discrete Knowledge Areas
in which stakeholder management is not simply better management of communications nor which improved
communications is simply better stakeholder management This concept drives the need to treat these two critical
keys for project success as distinct areas
Revamping this Knowledge Area by separating Project Stakeholders Management from Project Communications
Management provides the following benefits470 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
• Focuses on not only managing the expectations of the various stakeholder groups but actively working to
ensure an appropriate level of engagement of project stakeholders in the decision making and activities
of the project
• Aligns with the growing body of research showing stakeholder engagement as one of the keys to overall
project success
• Improves the alignment between the PMBOK® Guide and The Standard for Program Management
• Aligns better with the focus on stakeholder management being put forward with the new ISO 21500
standard
• Allows better emphasis on Project Communications Management by focusing on the main purpose of
communication activities to collect store organize and distribute project information
• Enables the realignment of project communications processes thus addressing the confusion and overlap
surrounding project performance analysis and reporting
Section 10 was separated into two distinct Knowledge Areas Project Communications Management and Project
Stakeholder Management This change takes the communication processes currently contained in Section 10
and refocuses them to project communications planning executing and controlling The two current stakeholder
aligned processes within Section 10 (Identify Stakeholders and Manage Stakeholder Expectations) were moved into
a new section addressing stakeholder management Stakeholderrelated text from Section 23 was also moved into
this new section The project management processes related to managing project stakeholders were expanded to
include
• Identify Stakeholders
• Develop Stakeholder Management Plan
• Manage Stakeholder Engagement and
• Control Stakeholder Engagement471©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X111 Process Changes
As part of the process changes several process names were changed to improve consistency across the
processes and to improve clarity All processes that create a subsidiary plan were named using the form of Plan
{XXX} Management The Monitor and Controlling processes were named using the form Control {XXX} since the
act of controlling a process includes monitoring the process These changes improved the consistency of how
processes are named across all processes In addition to process name changes several other processes were
added or modified as described elsewhere in this appendix The list below summarizes the process changes
• 43 Direct and Manage Project Execution—changed to Direct and Manage Project Work
• 51 Plan Scope Management—added
• 55 Verify Scope—changed to Validate Scope
• 61 Plan Schedule Management—added
• 71 Plan Cost Management—added
• 81 Plan Quality—changed to Plan Quality Management
• 83 Perform Quality Control—changed to Control Quality
• 91 Develop Human Resource Plan—changed to Plan Human Resource Management
• 102 Plan Communications—changed to Section 101 Plan Communications Management
• 103 Distribute Information—changed to Section 102 Manage Communications
• 105 Report Performance—changed to Section 103 Control Communications
• 116 Monitor and Control Risks—changed to Control Risks
• 121 Plan Procurements—changed to Plan Procurement Management
• 123 Administer Procurements—changed to Control Procurements
• 101 Identify Stakeholders—moved to Section 131 Identify Stakeholders
• 132 Plan Stakeholder Management—added
• 104 Manage Stakeholder Expectations—changed to Section 133 Manage Stakeholders Engagement
• 134 Control Stakeholders Engagement—added472 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X112 Section 4—Project Integration Management Changes
Process definitions were revised for Develop Project Charter Develop Project Management Plan Direct and
Manage Project Work Monitor and Control Project Work and Perform Integrated Change Control to better align
with the PMI Lexicon and improve clarity of the definitions The Direct and Manage Project Execution was
renamed to Direct and Manage Project Work to better align with its definition and reinforce that this process
applies beyond the Executing processes Other changes consist primarily of expanded explanations refinements
to tools and techniques for several processes and refinements to the inputs and outputs for several processes to
better tie the integration processes to other project management processes A table was added to the discussion
of the output for of the Develop Project Management Plan process to bring clarity to the differentiation between
project documents and Inputs and outputs were adjusted for several processes to reflect the new model of
project data and information flow during the execution of project work
The following table summarizes the Section 4 processes
Table X11 Section 4 Changes
Fourth Edition Sections Fifth Edition Sections
41 Develop Project Charter 41 Develop Project Charter
42 Develop Project Management Plan 42 Develop Project Management Plan
43 Direct and Manage Project Execution 43 Direct and Manage Project Work
44 Monitor and Control Project Work 44 Monitor and Control Project Work
45 Perform Integrated Change Control 45 Perform Integrated Change Control
46 Close Project or Phase 46 Close Project or Phase473©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X113 Section 5—Project Scope Management Changes
In Section 51 the concept of a Develop Scope Management Plan process was brought back as a way to
ensure consistency across all project planning processes and to reinforce that subsidiary plans are developed to
plan the details for each major Knowledge Area To support consistency in naming the processes that create the
subsidiary plans the Develop Scope Management Plan was named Plan Scope Management The discussion within
the Collect Requirements process was expanded to make clear this process focuses on collecting all requirements
necessary for project success These requirements include the requirements for the product service or result to be
delivered by the project any quality requirements the project must meet and any other project management related
requirements deemed critical for project success The Verify Scope process was renamed to Validate Scope and
the text was reworked to add emphasis that this process is not solely about accepting deliverables but validating
that the deliverables will deliver value to the business and confirms that the deliverables as provided will fulfill
the project objectives as well as their intended use to the project stakeholders Inputs and outputs were adjusted
for several processes to reflect the new model of project data and information flow during the execution of project
work
The following table summarizes the Section 5 processes
Table X12 Section 5 Changes
Fourth Edition Sections Fifth Edition Sections
51 Plan Scope Management
51 Collect Requirements 52 Collect Requirements
52 Define Scope 53 Define Scope
53 Create WBS 54 Create WBS
54 Verify Scope 55 Validate Scope
55 Control Scope 56 Control Scope474 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X114 Section 6—Project Time Management Changes
Section 6 reflects changes within the industry and detailed in the Practice Standard for Scheduling –
Second Edition
As part of reinforcing the concept of detailed subsidiary plans being created for each major Knowledge Area
and then aggregated into the overall project management plan a new process was added for Plan Schedule
Management This process adds focus on the preliminary decisions around developing and maintaining the
project’s schedule model Process definitions were revised for Define Activities Estimate Activity Resources
Estimate Activity Durations and Control Schedule to improve clarity of the definitions Several processes were
modified with new inputs andor updated outputs Agile concepts were incorporated into the Develop Schedule
process Figures and associated text were updated to clarify scheduling concepts addressed in the section
Added emphasis was placed on resource optimization techniques used in project scheduling Some inputs and
outputs were renamed for several processes to support consistency between the various project management
processes Inputs and outputs were adjusted for several processes to reflect the new model of project data and
information flow during the execution of project work
The following table summarizes the Section 6 processes
Table X13 Section 6 Changes
Fourth Edition Sections Fifth Edition Sections
61 Plan Schedule Management
61 Define Activities 62 Define Activities
62 Sequence Activities 63 Sequence Activities
63 Estimate Activity Resources 64 Estimate Activity Resources
64 Estimate Activity Durations 65 Estimate Activity Durations
65 Develop Schedule 66 Develop Schedule
66 Control Schedule 67 Control Schedule475©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X115 Section 7—Project Cost Management Changes
Section 7 reflects changes coming from within the industry and detailed in the Practice Standard for Estimating
and the Practice Standard for Earned Value Management – Second Edition
As part of reinforcing the concept of detailed subsidiary plans being created for each major Knowledge
Area and then aggregated into the overall project management plan a new process was added for Plan Cost
Management This process adds focus on the preliminary decisions around developing and maintaining the
project’s cost estimates and budget Added emphasis was placed on reserve analysis including contingency and
management reserves with a new figure Figure 78 added to illustrate the various components making up the
project budget A new table Table 71 on earned value calculations summary was added to collect in one place
all of the formulas used for earned value analysis Figures for earned value and project funding requirements
were updated to reflect the added emphasis on management reserves Some inputs and outputs were renamed
for several processes to support consistency between the various project management processes Inputs and
outputs were adjusted for several processes to reflect the new model of project data and information flow during
the execution of project work
The following table summarizes the Section 7 processes
Table X14 Section 7 Changes
Fourth Edition Sections Fifth Edition Sections
71 Plan Cost Management
71 Estimate Costs 72 Estimate Costs
72 Determine Budget 73 Determine Budget
73 Control Cost 74 Control Costs476 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X116 Section 8—Project Quality Management Changes
No new processes were added in the project management processes contained within this section The Quality
Planning process was renamed Plan Quality Management to support consistency in naming the processes that
create the subsidiary plans The definition for Plan Quality Management was updated to better align with the added
focus on quality requirements for the project The Perform Quality Control process was renamed Control Quality to
support consistency in naming the various controlling processes Changes consist primarily of expanding discussion
on various tools and techniques within the Quality Management processes Figure 82 on IPECC and PDCA Cycles
in Relation to QA QC and COQ was added to illustrate the fundamental relationships between quality assurance
quality control and cost of quality to the PlanDoCheckAct and InitiatePlanExecuteControlClose models A
new input was added for the Plan Quality Management process to better tie the requirements gathered during the
Collect Requirements process to the overall quality planning for the project More emphasis was placed on the
basic quality management tools used in managing project quality New figures were added to better summarize
the seven basic quality tools and the seven quality management and control tools Some inputs and outputs were
renamed for several processes to support consistency between the various project management processes Inputs
and outputs were adjusted for several processes to reflect the new model of project data and information flow
during the execution of project work
The following table summarizes the Section 8 processes
Table X15 Section 8 Changes
Fourth Edition Sections Fifth Edition Sections
81 Plan Quality 81 Plan Quality Management
82 Perform Quality Assurance 82 Perform Quality Assurance
83 Perform Quality Control 83 Control Quality477©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X117 Section 9—Project Human Resource Management Changes
No significant changes were implemented in project management processes contained within this section
The Human Resource Planning process was renamed Plan Human Resource Management to support consistency
in naming the processes that create the subsidiary plans Changes consist primarily of some added or modified
inputs tools and techniques and outputs and the replacement of project management plan by human resource
plan as an input of processes 92 Acquire Project Team 93 Develop Project Team and 94Manage Project Team
for consistency with processes in other Knowledge Areas The definitions for Plan Human Resource Management
Acquire Project Team and Develop Project Team were updated to better align with the details of these processes
Some inputs and outputs were renamed for several processes to support consistency in how information flows
between the various project management processes
The following table summarizes the Section 9 processes
Table X16 Section 9 Changes
Fourth Edition Sections Fifth Edition Sections
91 Develop Human Resource Plan 91 Plan Human Resource Management
92 Acquire Project Team 92 Acquire Project Team
93 Develop Project Team 93 Develop Project Team
94 Manage Project Team 94 Manage Project Team478 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X118 Section 10—Project Communications Management Changes
Information about stakeholder management was moved from Section 10 to a new Knowledge Area for
Stakeholder Management The Plan Communications process was renamed Plan Communications Management
to support consistency in naming the processes that create the subsidiary plans The processes for Distribute
Information and Report Performance were reworked to clear up confusion between these processes and their
overlap with processes for Control Scope Control Schedule and Control Cost The processes were refocused
toward the activity of communication as performed in projects considering more the process of communicating
rather than the intent or desired outcome of the message with emphasis on planning for the communications
needs of the project collecting storing and disseminating project information and monitoring overall project
communications to ensure its efficiency The process names were changed to Manage Communications and
Control Communications The definitions for Plan Communications Management Manage Communications
and Control Communications were updated to reflect these changes Some inputs and outputs were renamed
for several processes to support consistency between the various project management processes Inputs and
outputs were adjusted for several processes to reflect the new model of project data and information flow during
the execution of project work
The following table summarizes the Section 10 processes
Table X17 Section 10 Changes
Fourth Edition Sections Fifth Edition Sections
101 Identify Stakeholders Moved to 131
102 Plan Communications 101 Plan Communications Management
103 Distribute Information 102 Manage Communications
104 Manage Stakeholder Expectations Moved to 133
105 Report Performance 103 Control Communications479©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X119 Section 11—Project Risk Management Changes
No significant changes were implemented in project management processes contained within this section
The Monitor and Control Risks process was renamed Control Risks to support consistency in naming the various
controlling processes Changes were made to move the emphasis away from the term positive risks toward
opportunity to better align with the feedback from the project management community Text was added to expand
upon the concepts of risk attitude risk appetite risk tolerance and risk thresholds Other changes consist primarily
of cleaning up text incorporating feedback and aligning inputs and outputs with changes from other Knowledge
Areas Some inputs and outputs were renamed for several processes to support consistency between the various
project management processes Inputs and outputs were adjusted for several processes to reflect the new model
of project data and information flow during the execution of project work
The following table summarizes the Section 11 processes
Table X18 Section 11 Changes
Fourth Edition Sections Fifth Edition Sections
111 Plan Risk Management 111 Plan Risk Management
112 Identify Risks 112 Identify Risks
113 Perform Qualitative Risk Analysis 113 Perform Qualitative Risk Analysis
114 Perform Quantitative Risk Analysis 114 Perform Quantitative Risk Analysis
115 Plan Risk Responses 115 Plan Risk Responses
116 Monitor and Control Risk 116 Control Risks480 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X120 Section 12—Project Procurement Management Changes
The Plan Procurements process was renamed Plan Procurement Management to support consistency in
naming the processes that create the subsidiary plans The Administer Procurement process was renamed Control
Procurements to support consistency in naming the various controlling processes Other changes consist primarily
of cleaning up text incorporating feedback and aligning inputs and outputs with changes from other Knowledge
Areas Some inputs and outputs were renamed for several processes to support consistency between the various
project management processes Inputs and outputs were adjusted for several processes to reflect the new model
of project data and information flow during the execution of project work
The following table summarizes the Section 12 processes
Table X19 Section 12 Changes
Fourth Edition Sections Fifth Edition Sections
121 Plan Procurements 121 Plan Procurement Management
122 Conduct Procurements 122 Conduct Procurements
123 Administer Procurements 123 Control Procurements
124 Close Procurements 124 Close Procurements481©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X121 Section 13—Project Stakeholder Management Changes
In keeping with the evolution of thinking regarding stakeholder management within projects a new Knowledge
Area was added addressing Project Stakeholder Management Information on stakeholder identification and
managing stakeholder expectations was moved from Section 10 on Project Communications Management to this
new Knowledge Area to expand upon and increase the focus on the importance of appropriately engaging project
stakeholders in the key decisions and activities associated with the project New processes were added for Plan
Stakeholders Management and Control Stakeholders Engagement Some inputs and outputs were renamed for
several processes to support consistency between the various project management processes Inputs and outputs
were adjusted for several processes to reflect the new model of project data and information flow during the
execution of project work
The following table summarizes the Section 13 processes
Table X110 Section 13 Changes
Fourth Edition Sections Fifth Edition Sections
101 Identify Stakeholders 131 Identify Stakeholders
132 Plan Stakeholder Management
104 Manage Stakeholders Expectations 133 Manage Stakeholder Engagement
134 Control Stakeholder Engagement482 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X1 FIFTH EDITION CHANGES
X122 Glossary
The glossary of the PMBOK® Guide – Fifth Edition has been expanded and updated to include those terms within
the PMBOK® Guide that need to be defined to support an understanding of the document’s contents
• Clarify meaning and improve the quality and accuracy of any translations
• Eliminate terms not used within the PMBOK® Guide – Fifth Edition and
• Ensure terms align and harmonize with the terms in the PMI Lexicon and other key PMI standards
X123 Data Flow Diagrams
The data flow diagrams for all project management processes were cleaned up and updated to remove
inconsistencies and ensure each diagram accurately reflects the inputs and outputs associated with a given process483©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Appendix X2
Contributors and Reviewers of
the PMBOK® Guide—Fifth Edition
PMI volunteers first attempted to codify the Project Management Body of Knowledge in the Special Report
on Ethics Standards and Accreditation published in 1983 Since that time other volunteers have come forward
to update and improve that original document and contribute to this globally recognized standard for project
management PMI’s A Guide to the Project Management Body of Knowledge (PMBOK® Guide) This appendix lists
alphabetically within groupings those individuals who have contributed to the development and production of the
PMBOK® Guide – Fifth Edition No simple list or even multiple lists can adequately portray all the contributions of
those who have volunteered to develop the PMBOK® Guide – Fifth Edition
The Project Management Institute is grateful to all of these individuals for their support and acknowledges their
contributions to the project management profession
X21 PMBOK® Guide—Fifth Edition Core Committee
The following individuals served as members were contributors of text or concepts and served as leaders
within the Project Core Committee
The following individuals served as members were contributors of text or concepts and served as leaders
within the Project Core Committee
Dave Violette MPM PMP Chair
Joseph W Kestel PMP Vice Chair
Nick Clemens PMP (Sections 3 and 4 Lead)
Dan Deakin PMP (Sections 11 and 12 Lead)
Theofanis C Giotis PMP PMIACP (Sections 1 and 2 Lead)
Marie A Gunnerson (Sections 6 and 7 Lead)
Vanina Mangano PMP PMIRMP (Integrated Content and Change Control Lead)
Mercedes Martinez Sanz PMP (Sections 5 and 8 Lead)
Carolina Gabriela Spindola PMP SSBB (Quality Control Lead)
Kristin L Vitello CAPM Standards Project Specialist484 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
X22 PMBOK® Guide—Fifth Edition Subcommittee
The following individuals served as contributors of text or concepts and as leaders of the Project Subcommittee
Matthew B Anderson PMP PMIACP (Section 4 Leader)
Gilbert B Asher MBA PMP (Data Flow Working Group Leader)
Brad Bigelow PMP MSP (Section 2 Leader)
Cecilia Boggi PMP (Section 9 Leader)
Bernardo O Bustamante PE PMP (Section 1 Leader)
Akshata Karanth PMP (Section 6 Leader)
David L Keeney PMP CTT+ (Section 8 Leader)
David Kramer (Section 12 Leader)
Karthikeyan Kumaraguru MS PMP (Section 11 Leader)
MaryElizabeth Larson PMP CBAP (Section 5 Leader)
Charles J Lesko Jr PhD PMP (Section 10 Leader)
Claudia Alex Morris MBA PMP (Editorial Leader)
John M Nevison (Section 7 Leader)
MKRamesh BE PMP (Section 3 Leader through 62011)
Krupakar Reddy PMP PRINCE2 Practitioner (Section 3 Leader)
Yad Senapathy (Section 4 Leader through 62011)
Anca E Slușanschi MSc PMP (Section 13 Leader)
X23 Significant Contributors
In addition to the members of the Project Core Committee and Subcommittee the following individuals provided
significant input or concepts
George F Burton MBA PMP
Tammy Clark
Joel R Erickson MAcc PMP
Stanisław Gasik PhD
Ashok Jain PMP CSM
Andrea Pantano PMP
Federico Roman Demo PMP ITIL
Anthony Tsui MIT PMP
Jennifer L Walker PMP485©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
X24 PMBOK® Guide—Fifth Edition Content Committee
The following individuals were contributors of text or concepts and provided recommendations on drafts of the
PMBOK® Guide—Fifth Edition
Humayun Akhtar PE PMP
Mark O Alexander PEng PMP
Miguel Angel Hernandez Ayala MBA PMP
Katherine A Barnoski PMP CPCP
Sameer S Bendre PMP CSM
Manuela Borlovan
Hector E A Boye MSc PMP
Carlos M Brenes MPM
Kevin Brennan PMP CBAP
Melissa F Bull PMP
Guido Caciagli B PMP
Jesus Mario Garcia Cano PMP
Ramesh Chandak
Carol Dekkers PMP CFPS
Wayne D Ellis PE PMP
Andrés Falcón MBA PMP
Anna Maria Felici PMP CMC®
Sachin Ghai PMP
Juan Carlos González PMP ITIL
Mike Griffiths PMP PMIACP
Joseph Gruber PMP CAPM
Sharnikya F Howard MBA PMP
Harold S Hunt PMP
Suhail Iqbal PgMP PMP
Rajan T Janjani PMP ITIL Expert
Chandrashekhar S Joshi PMP
Chartered Engineer
Puja Kasariya PMP
Khalid Ahmad Khan PE PMP
Terri Herman Kimball PMP
Vijay Kumar
Gaspar Pacheco Leal PMP
Nguyen Long Son PMP PMIRMP
Debra J Lovelace PMP
Tom Magee MBA PMP
Ahsan Maqbool PMP PMIRMP
Conrado Morlan PgMP PMP
Tilden Moschetti
Jacob Kottackal Ninan
Abdul Nsubuga
Reuben Oshomah MSc PMP
Marcus S Parker Sr PMP
Sergio A Peñaloza PMP
Ute Riemann MBA MCS
Nick Riordan MBA PMP
Shivkanth V Rohith PMP PMIACP
Bruce Schwickrath PMP LSSMBB
Kishankumar J Solanki
Tejas V Sura MS PMP
Federico Vargas PMP MPM
Srikanth Victory
Himanshu Shripad Warudkar PMP ITIL
S K Steve Wong PMP CMA486 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
X25 Reviewers
X251 SME Review
In addition to the members of the Committee the following individuals provided their review and recommendations
on drafts of the standard
Stephen Kwasi Agyei PMP LLM
Lavanya Arul PMP PMIRMP
Ernest Baker PMP PRINCE2 Practitioner
Mamoun Besaiso CE
James C Bradford Jr PMP
Damiano Bragantini PMP
Georgeta Brehoi PMP
Peter Brown
Andrea Caccamese PMP Prince2 Practitioner
Panos Chatzipanos PhD PE
Jared Curtis PMP
Mario C Delvas MBA PMP
Dipti Desai PMP
Lakshmi Dhruvarao PMP CSM
George Diakonikolaou PhD PMP
Peter Dimov PMP CBM
Richard Egelstaff PMP MBA
Charles T Follin PMP
Prabhat Garg PMP
Vivek Goel PMP CSM
Mustafa Hafizoglu
Dr Sheriff Hashem PhD PMP
David A Hillson PhD PMI Fellow
Christine Hoffman
Hiroto Horio PMP
David T Hulett PhD
Poornaselvan Jeevanandam
Gregory I Jepson
Kazuo Kawai PMP
Konstantinos Kirytopoulos PhD PMP
Adrian W LovelHall PMP PMIRMP
Thomas F McCabe PMP CSSMBB
Harold Mike Mosley Jr PE PMP
Daud Nasir PMP LSSBB
Alexandre Vieira de Oliveira MBA PMP
Sneha V Patel PMP
Richard Perrin
Walter Plagge MBA PMP
Marlene Derian Robertson
Fernan Rodriguez PMP
Tres Roeder MBA PMP
Guy Schleffer MBA PgMP
Nitin Shende PMP CSM
Nagendra Sherman PMP
J Greg Smith
Cyndi Snyder PMP EVP
Geree V Streun PMP PMIACP
Jurgen Sturany PMP
Yasuji Suzuki PMP
Shoji Tajima
Yvonne Tan EY PMP
Gerhard J Tekes PMP PMIOPM3
Certified Professional
Biagio Tramontana Eng PMP
Thomas M Walsh PMP
Juanita M Woods PMP PgMP
Ronaldo Zanardo CAPM
Heinz Zimmermann PMP487©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
X252 Member Advisory Group (MAG) Review
The following individuals served as members of the PMI Standards Program Member Advisory Group and voted
on the final draft of the PMBOK® Guide – Fifth Edition
Monique Aubry PhD MPM
Chris Cartwright MPM PMP
Laurence Goldsmith PMP
Paul E Shaltry PMP
Cyndi Snyder MBA PMP EVP
X253 Consensus Body Review
The following individuals served as members of the PMI Standards Program Consensus Body and voted on the
final draft of the PMBOK® Guide – Fifth Edition
Monique Aubry PhD MPM
Nigel Blampied PE PMP
Nathalie Bohbot PMP
Dennis L Bolles PMP
Peggy Brady
Chris Cartwright MPM PMP
Sergio Coronado PdD
Andrea Demaria PMP
John L Dettbarn Jr DSc PE
Charles T Follin PMP
Laurence Goldsmith MBA PMP
Dana J Goulston PMP
Dorothy L Kangas PMP
Thomas Kurihara
Timothy MacFadyen
David Christopher Miles CEng OPM3CC
Harold Mike Mosley Jr PE PMP
Mike Musial PMP CBM
Eric S Norman PgMP PMP
Deborah O’Bray CIM (Hons) 488 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Nanette Patton MSBA PMP
Crispin (Kik) Piney BSc PgMP
Michael Reed PMP
Chris Richards PMP
Paul E Shaltry PMP
Jen L Skrabak MBA PMP
Matthew D Tomlinson PgMP PMP
X254 Final Exposure Draft Review
In addition to the members of the Committee the following individuals provided recommendations for improving
the Exposure Draft of the PMBOK® Guide—Fifth Edition
Javed A Abbasi MBA PMP
Klaus Abert
Biju B Abraham PMP
Mohammad I Abu Irshaid PMP
Mohammad Adel PMP
Yaser Afaneh MSCE PMP
Eng Ahmed Taha MBA PMP
Mounir Ajam
Phill C Akinwale MSc PMP
Mfon D Akpan MBA PMP
Mobasher Abdu AlAsmry
CE KSA
Homam Al khateeb PMP
PMIRMP
Ahmad AlNahar MBA PMP
Melad Alaqra PMP
José Rafael Alcalá Gómez
MBA PMP
Martin Alemán Valdés PMP
Mohammed Faiq AlHadeethi
PMP MSc (Mech)
Anwar Ali MBA PMP
Allam V V S Venu PMP
Barnabas Seth Amarteifio
PMP ITIL
Yousif Amin PMP
Andy Anderson MA PMP
David Angelow MBA PMP
Luciano Antoniucci
Mark A Archer PhD PMP
Ondiappan Arivazhagan Ari
PMP PMIRMP
Wisdom Kwasi Asare
Amegashie
Babissakana PMP
Mohamed A Badie PMP
Prince2 Practitioner
Ammar N Baidas PgMP PMP
Kamal Bajaj PMP PGDBA
Jehad J Baker PgMP PMP
J Balamurali PMP
Federica Ballone PMP
Manuel F Baquero V MSc PMP
Brent R Barton
Anupam Baruah
Olaf Baumgartner PMP
Iain Begg PMP
Laura Benedetti
Wayne F Best
Harwinder Singh Bhatia
PMP CSM
Pius Bienz PhD PMP
Jean Binder PMP
Nigel Blampied PE PMP
Michael P Bomi BSc PMP
Raúl Borges PMP
Farid F Bouges MSc PMP
Lynda Bourne DPM FAIM
Joao Carlos Boyadjian
MSc PMP489©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Didier Brackx PMP
Jim Branden MBA PMP
Wayne R Brantley MSEd PMP
Ralf Braune PMP
Tamela J Brittingham PMP
Jerry Bucknoff MBA PMP
Syed Asad Hasnain Bukhari
MBA (MIS) PMP
Jeffrey S Busch PMP
Mario Castro Caballero
Anthony Cabri PMP
Andrea Caccamese PMP
Prince2 Practitioner
Roberto A Cadena Legaspi PMP
Jacob Calabrese CSP CBAP
Maria Cardullo
James F Carilli PgMP PMP
Christopher W Carson
PMP CCM
Angela M Cason PMP
Ralph Celento
Rebecca Cervoni PMP
Bruce C Chadbourne
PgMP PMIRMP
Kameswaran
Chandrasekaran PMP
Theodore Jiyon Chang
Ramesh Chepur PMP PRINCE2
Practitioner
Subrahmanyam VN Chinta
PMP CSM
Marcin Chomicz MBA PMP
Abhishek Chopra
Angel R Chourio PMP
Eric Christoph PMP EVP
Rose M Clark PMP
Rogerio L Clavello PMP
Xavier Clerfeuille MSc SSL
Black Belt
Paul Converti PMP CISSP
Mario Coquillat de
Travesedo PMP
Franco Cosenza PE MScEE
Jeremy Coster PMP
Raymond Covert
Holly Cowe
Adriano José da Silva Neves
MSc PMP
William L (Bill) Dam PMP CPG
Joseph W Daniel PMP
Richard Gary Daniels
Mohamed Daoud
Russell W Darnall DM PMP
Fariborz Davarpanah MBA PMP
Luiz Guilherme de Carvalho
Elisa De Mattia
PH Manjula Deepal De Silva
BSc PMP
Vijay Deshpande
Salvatore Di’iorio
George Diakonikolaou
John H Dittmer VI CISSP
ISSMP PMP
Marcelo Sans Dodson
PMP MPM
Roland Doerr MBA PMP
Serge Dolivet PMP
Bhushan Dongare
R Bernadine Douglas MS PMP
Xinhua Du
Arun Dubagunta
Stephen Duffield MPM CPPD
Pradip Kumar Dwevedi PMP
Hany A Elhay PMP
Bilal M El Itani MBA PMP
Abdurazag Elkhadrawe
William Ernest MPM PMP
Dmitry A Ezhov PMP
Leandro Faria PMP PMIACP
Daniel Fay PMP
Madhu Fernando DBA PMP
Jesse Fewell PMP CST
Claudia Fiallo PMP
John C Buck’ Field MBA PMP
Robinson Figueroa MS PMP
David Foley MBA
Sandra FonsecaLind
Scott D Freauf PMP IPMAC
Sakae Fujino
Yoichi Fukuhara PMP
Nestor C Gabarda Jr ECE PMP
Luca Gambetti PMP CFPS
Gerardo A Garavito F PMP
PMIACP
Jose Eduardo Motta Garcia
MBA PMP
Jorge Garcia Solano PMP MPM490 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Sergio Garon MS
Jay D Gassaway PMP PMPSP
Michael J Gauthier MA CPM
Darline Georges
Soumajit (Sam) Ghosh PMP
PhD Candidate
Carl M Gilbert PMP Cert OPM3
Professional
Peter James Gilliland PMP
Sulema de Oliveira Barcelos
Gobato MsC PMP
Emily Godinet Lounge PMP
Peter Goldberg
Andrés F Gómez MSc PMP
Guillermo Gomez Hdez CSM
José Abranches Gonçalves
MSc PMP
Himanshu Kumar Goswami
Jean Gouix Eng PgMP PMP
Gary J Graham CISM CISSP
Charlie Green PMP
Roy C Greenia MPM PMP
Salomon Pineda Guerrero
Pier Luigi Guida PgMP PMP
Lakshmeesha T Gundurao
PMP CSM
Guo MingHui (MARS) PMP
Kapil Gupta PMP
Edward Hall PMP
Noha Hamdy
Sharad S Harale MBA PMP
Simon Harris PMP D4®
Accredited
Abdulrahman M Hassan MSc
Gregory T Haugan Sr
PhD PMP
Larry J Hawkins DSc PMP
Susumu Hayakawa PMP
Kym Henderson RFD
MSc (Comp)
Robert Hierholtz
Robert N Higgins V PMP
Danny N Hinton PMP
Shirley P Hinton PMP
Hisashi Hirose PMP
Jack J Holmes PMP
Keith D Hornbacher MBA
Tim Hornett PMP
Christina M House PMP EMBA
Seth Huckabee
Robert F Hull PE PMP
Guillermo A Ibañez PMP ITIL
Shuichi Ikeda PMP
Hemant Israni PMP PMIRMP
Vladimir Ivanov IPMAB
Assessor ITIL Expert
Vidya Iyer PMP
Can Izgi PMP
Elaine T Jackson BS PMP
James M Jackson PMP FLMI
Rajesh Jadhav PgMP PMIRMP
Rebecca Jahelka PMP
Gagan Jain MBA PMP
Don R James PMP
Vicki James
Chandra Shekar Jayanna PMP
Johannan Johnny’ Jhirad B
Tech (IIT Bombay)
Marco Antonio Jimenez
MBA PMP
Jaime Jiménez Ayala PhD PMP
Tony Johnson PgMP PMP
Fayez Jolani MBA PMP
Michele J Jones PMP
Yves Jordan PMP
Chandrashekhar S Joshi PMP
Chartered Engineer
Rameshchandra Joshi
Donaliya K Porter MBA MPM
SS Kanagaraj PMP ITIL
Edwin J Kapinus PE PgMP
Madhavi Karanam MBA
Heinrich Karageorgou
MBA DBA
Naoki Kasahara PMP
Ramakrishna Kavirayani PMP
Kenichi Kawamata PMP
Babatunde Oluwayomi Kayode
MS ProjM MSc(PM)
Tarig A Khalid PMP CBAP
Adil Khan
Muhammad Ehsan Khan PhD
PgMP PMP
Nader Khorrami Rad PMP
Mangesh A Khunte PMP
PMIACP
Mostafa Kilani
Athens Kolias PMP MPM
Walter Kriegl PMP491©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Srikanth Krishnamoorthy
PMP PGDSA
Kannan Krishnan
Casimer Casey Kroll
PMP MASc
Gustavo Krowczuk PMP
Devesh Kumar PMP PMIACP
L Senthil Kumar PMP
Pavan S Kumar PMP
Raghu Kumar
Vladimir Kupershteyn PhD PMP
Thomas M Kurihara
Puneet Kuthiala PMP CGEIT
Massimo La Rosa PMP
Thierry Labriet PMP IPMAB
Rangarajan Lakshminarasimhan
PMP
Arun Lal
Elixender Lamprea León
PEITIL MSc IT
Hagit Landman PMP PMISP
Ayotunde O Lawal PMP CAPM
Roberta Lawrence BAppMgt
(Project Management) PMP
S Douglas Leard PMP ACP
Oliver F Lehmann PMP CLICP
Ginger Levin PhD PgMP PMP
JeanPierre Lhomme PMP
Jian Liang
Kanak Limbu PMP ITILV3
Frank MC Lin
Marco Antonio L Lo Visco
MBA PMP
Lohokare
Anand Lokhande PMP
Alberto J Lopez PMP
Samuel López González de
Murillo PMP
Zheng Lou MBA PMP
Sérgio Lourenço PMIRMP PMP
Hugo K M Lourenço PMP
Robert A Lyell PMP
Frederick G Mackaden
MBA PMP
Engr Sangu Maha Rajan BTech
Abhijit A Maity PMP
Richard Maltzman
Anthony Mampilly PMP
Kenneth Manahl
Ammar Mango
David Mantle PMP
Len Marchese PMP
Daniel Marigliano
Shobhana M BTech Prince2
Antonio Marino PMP PMIACP
Tom Mastal PMP CSM
Flávio Matsuyama PhD
Vincent McGevna PMP PRINCE2
Practitioner
Jon McGlothian MBA PMP
Alan McLoughlin BE MPM
Suzette A McNaught MBA PMP
Peter Berndt de Souza Mello
SpS PMISP
Yan Bello Méndez PMP
Katia M Méndez Madrigal
MAP PMP
Ernst Menet PMP
Rashmi Menon
Mohammed M’hamdi PMP
Joachim Modern PMP
Megat Ahmad Zainuri B
Mohamed PMP
Mannan Mohammed PMP PEng
Haitham K M Mokhtar BSc
PG Dip
Andres Molano Trujillo
Marshciene Hendrix Moor
MBA MS
Lacheta Moore
Carlos Morais
John Morck Med PMP
Harold Mike Mosley Jr
PE PMP
Saradhi Motamarri MTech PMP
Henrique Moura PMP
Nathan M Mourfield MBA PMP
Hazim Muhssin
Kristin Munro
Mike Musial PMP CBM
Khalid M Musleh PMP ISO
9001 LA
Arul SP Muthupandian
Amir Naderi Msc PMP
Basab Nandi
Sergio Nascimento
Faig Nasibov PMP
Mthokozisi Ncube MSc PMP
TaTianna K Nealy PMP RMP
Shashank Neppalli PMP
Nghi M Nguyen PhD PMP
Thuthuy C Nguyen PMP492 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Tri Hue Nguyen PMP
Idika U Ngwobia MSc PMP
Jonathan Nickerson PMP
Praveen K Nidumolu PMP CSM
Eric Nielsen PMP
Jeffrey S Nielsen PgMP PMP
Sanjay Nivargikar
Takuji Noguchi PMP
Michael Nollet
Alireza Noordoust Behtouei
Fernando Nunes de Oliveira
PMP PMISP
Henry Lapid Nuqui PEE PMP
Kevin T O’Brien PEng PMP
Peter O’Driscoll PMP
Dayo Odunlami MBA PMP
SiobhanLouise O’Keefe
Bayonle Oladoja mnse PMP
Neil Olshansky
Johnson O Omosule Bsc
Thomas Q O’Rourke PMP
PMIRMP
Venkateswar P Oruganti
PMP FIETE
Mahmoud Assaad Othmane
PMP CIPM
Maksym Ovsianikov PMP
Hariyo D Pangarso MT PMP
James W Parcels
Sandro Pasini MBA PMP
Yadaiah Pathkula
Marcello Patrese PMP PMC
Dražen Penzar PMP
Richard J Perrin PMP MBB
D John Peter PMP
Lachlan Peter CPEng PMP
Massimo Pica Brig Gen(ret)
Italian Army Dr (Eng)
Joseph Pignato
Raj Pillai PMP MIFireE
Teresita L Pineda PMP LEED AP
Crispin (Kik) Piney BSc PgMP
Jose Angelo Pinto PMP
OPM3 CC
Alan L Plastow PMP MAT
Fredric L Plotnick PhD PE
Shaligram Pokharel PhD REng
George E Porter MBA PMP
Marcus Possi MBAFGV SpS
Edwin A Provencal MBA PMP
Naseer Pervaz Qureshi
Norman Radatz PMP
João Ramalho PMP
S Ramani PgMP PMP
Phalguna K Ramaraju PMP
PMIACP
Rajkumar Ramaswamy
P Eng PMP
MKRamesh BE PMP
Gurdev Randhawa
Raghunathan Rangapathy PMP
Madhavan S Rao PMP
Raju N Rao PMP Cert OPM3
Professional
Michael Reed PMP
Vicky Restrepo PMP
Gustavo De Abreu Ribas PMP
Andriele Ribeiro MSc PMP
Juan Carlos Ribero Gomez PMP
Richard A Rodberg PMP
Bernard Roduit
David Roe PMP
Brandon Joseph Rogers PMP
Yvette Roserie PMP
Cecile T Ross PMP
Mohamed Saad
Kumar Sadasivan PMP
Mihail IE Sadeanu PhD PMP
Keiko Sakagami PMP
Eng Salem Mahaboob Saliha
Sheriff MBA PMP
Christian Q Salvaleon
Angela M Sammon PMP
Ranga Sarangan MBA PMP
Vikas Sarin PMP ME(SS)
Kyoichi Sato PMP
Sara Sattar PMP
Anatoliy A Savin PMP
Doina T Scafaru PMP
Danilo Scalmani PMP
Gary D Schmitz PMP
Martin R Schneider
William T Schulz PMP
Ulrich Schumann PMP
Hemant Seigell MBA PMP
Yoshiro Sekihara
Dhruba P Sen PMP CSDP
Maharajan Skandarajah PMP
Shrenik Shah PMP493©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Nitin Shende PMP CSM
Kazuo Shimizu PMP
David Shirley MBA PMP
Sandeep Shouche PgMP PMP
Hilary Shreter MBA PMP
Sameer Siddhanti MSc PMP
Edson Silva
Evandro Silva
Fay Simcock
Gurpreet Singh MBA PMP
Ravi H Singh PMP
Nabakishore Singha Y
EMBA PMP
Rajesh Singla PMP
Darnell Singleton PMP MSPM
Sumit Kumar Sinha PMP
Malik Skaljic PMP MBA
Charles D Smith PMP
J Greg Smith
Kenneth F Smith PMP DPA
Cyndi Snyder PMP EVP
Pamela Soderholm PMP
Emad Eldin Soliman
Wang Songping
Mauro Sotille PMP
Frank Spiegel PMP
Babou Srinivasan PMP
Ravishankar Srinivasan PMP
Sriram Srinivasan PMP
ITIL Expert
Dennis E Stevens
Kevin Stokes
Zendre Strother
Murali Sundararaju PMP
Yasuji Suzuki PMP
Sudhir Swamy PMP
Marcus Tabart PMP
Afif Tabsh PMP
Shoji Tajima PMP ITC
Roberto Taraschi PMP
Isabella Taschetta PMP
Sunil Telkar PMP MIMA
John G Terdik PMP CSM
Carlos Tessore PhD PMP
Riad Thalji PMP
Srinivasan Thiruvengadathan
John B Thomas PMP
Sal J Thompson MBA PMP
Ronald Togatorop PMP
Mark Tolbert PMP
Ricardo Torres
Luis Eduardo Torres
Calzada PMP
John T Tracy MBA PMP
Mario H Trentim PMP PMIRMP
Ankit M Trivedi MS PMP
Mahmoud M Turkistani PMP
Bruce E Turner PhD PMP
Junichi Uchiyama PMP
Hafiz Umar
Krishnakant T Upadhyaya PMP
Srikanth US MS PGCPM
M Fahad Usmani PMP PMI
RMP
Ali Vahedi Diz PgMP PMP
Richard E Vail PMP
Jorge Valdés Garciatorres
PMP ACB
José Félix Valdez PMP
Tom Van Medegael PMP
Mårten van Rheinberg PMP
PMIACP
Stephan Vandevoorde Ing
Ravi Vanukuru BE PMP
Lelio Varella PMP
Ricardo Viana Vargas MSc PMP
Jouko Vaskimo PMP IPMA
Level B
Cynthia A Vaughn MBA PMP
Isabel Rosario Vega
Palomino PMP
Vedananda V Venkata MS PMP
Thierry Verlynde MS PMP
Basskar Verma
Aloysio Vianna Jr PMP
Jaime Videla PMP
Carlos Augusto Freitas
PMP CAPM
Tiziano Villa PMP CMC
Jorge Archivaldo Villa CE
Ananth Vishakantiah PMP
Mangi Vishnoi PMP MIEAust
Poonam Vishnoi PMGTI
Yiannis Vithynos PMP PMIACP
Atin Wadehra MBA PMP
Paul Waits Jr PMP CPM
Xiaojin Wang PhD PMP
Patrick Weaver PMP FAICD
Kevin R Wegryn PMP MA494 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Stacia Weiner PMP
Roger K Weld PE PMP
Philip Wells PMP CEH
Sean Whitaker MBA PMP
S White
Rebecca A Winston JD
Stephen Wise PMP
Sheng Jun Tony Wu PMP
Wenyi Xiao PMP
Chen YanJi PMP
Clement CL Yeung PMP
Masafumi Yoshizawa PMP
Yong Yu
Ricardo T Yugue MSc PMP
Azam M Zaqzouq MCT PMP
Omran Mohamed Zbeida
PMP BSP
Bin Zhang
Salim Zid PMP LEED AP BD+C
X26 PMI Standards Program Member Advisory Group (MAG)
The following individuals served as members of the PMI Standards Program Member Advisory Group during
development of the PMBOK® Guide—Fifth Edition
Monique Aubry PhD MPM
Margareth FS Carneiro MSc PMP
Chris Cartwright MPM PMP
Terry CookeDavies PhD
Laurence Goldsmith PMP
Paul E Shaltry PMP
Cyndi Snyder MBA PMP EVP
John Zlockie MBA PMP PMI Standards Manager495©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
X27 Harmonization Team
Karl F Best CAPM CStd
Steve Butler MBA PMP
Folake Dosunmu PgMP OPM3
Randy Holt MBS PMP Chair
Dorothy L Kangas PMP
Joseph W Kestel PMP
M Elaine Lazar AStd MA
Timothy MacFadyen
Vanina Mangano
David Christopher Miles CEng OPM3CC
Eric S Norman PgMP PMP
Michael Reed PMP
Chris Richards PMP
Jen L Skrabak MBA PMP
Carol Steuer PMP
Bobbye S Underwood PMP PMIACP®
Dave Violette MPM PMP
Kristin Vitello CAPM
Quynh Woodward MBA PMP
John Zlockie MBA PMP
X28 Production Staff
Special mention is due to the following employees of PMI
Donn Greenberg Publications Manager
Roberta Storer Product Editor
Barbara Walsh Publications Production Supervisor496 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
X29 Contributors to Past Editions
X291 The PMBOK® Guide—Fourth Edition
Cynthia Stackpole MBA PMP Project Manager
Karen Rasmussen Noll Deputy Project Manager
Murray Grooms BA PMP (Communications)
Sandra Hyman (Chapter Coordinator)
Joseph W Kestel PMP MSIS (Chapter 3 and 5 Lead)
Tom Malicki (Volunteer Lead Front & Back Lead)
Clifford W Sprague PMP (Volunteer Coordinator)
Geree V Streun CSQE PMP (Chief Architect)
Kristin L Vitello Standards Project Specialist
X292 Other Contributors
Wayne F Abba
Ahmed Taha Abd El Hameed
Ir Hj Ahmad Khairiri Abdul Ghani
Int PE ASEAN Eng
Klaus Abert
Biju B Abraham PMP
Ed Adelman PMP
Yasser Thiab Ali Afaneh
Mohit Agarwal
Upinder Aggarwal PMP
Eva D Aimable
Shigeru Akiba PMP
Phill C Akinwale PMP
James E Aksel MS PMP
Neil F Albert
Mohammad M Ali
Hussain Ali AlAnsari
Eur Ing C Eng
Mohammed Abdulla AlKuwari
Eur Ing PMP
Graeme A Allan
BSc(Hons) PMP
Marcia de Almeida
Wasel A AlMuhammad
MBA PMP
Noor Hamad Alnisif PMP
Fayez Mosaed AlTalhi PMP
Alonso Loaiza A PMP
Barnabas Seth Amarteifio PMP
Ketal Amin BB PMP
Alok N Anadkat BS PMP
P Lingesh Ananth PMP
Abel Andrew Anderson
CBM PMP
Chet R Anderson PMP
Niels Erik Andersen MSc CS
Jagathnarayanan P Angyan
FIE CE
Ondiappan Arivazhagan Ari
PMP CSSBB
Muhammad Waqar Asghar PMP
Syed S Asghar MSA PMP
Usman Asif PMP
Naing Moe Aung PMP
Shigeo Awamura
Mike Awuah MBA PMP
Tanin I Ayabakan MD PMP497©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Jacklyn AyoungChee
MBA PMP
Mahadhir Aziz PMP
Karthegesan B MBA PMP
Rozinah Bachik MSc (PM) PMP
Ernest Baker PMP
Ramanan Balakrishna PMP
Sunil Bansal PMP
Ricardo do Rêgo Barros PMP
Patricia J Bartl PMP
Nazir M Bashir PMP
Herminia Bastos PMP CMC
Mohammed Safi Batley MIM
Fred Beckmann PMP
Debra C Bedford
Julia M Bednar PMP
Eric Berry PMP
Stephen Berté PhD PMP
Mamoun A Besaiso CE
Dale L Beyer MBA PMP
Christie Biehl EdD PMP
Shantanu Bhamare PMP
Alok Bhaskar MBA PMP
Kurmarao V Bhavanasi PMP
Artur Bialy PMP
Craig Nicholas Blackford
Rhonda R Blevins PMP
Edward Bogak MBA
Dennis L Bolles PMP LLC
Stephen F Bonk PMP PE
Adolfo Borja MBS PMP
Al Bornmann PE PMP
Lyn Bos MHA MBA
JeanLuc Boulanger PMP
Lynda Bourne DPM PMP
Didier Brackx EMS Prof PMP
Robin G Bradshaw PMP
Carlos Eduardo M F Braga PMP
Wayne R Brantley MS Ed PMP
Ralf Braune PMP
Michael C Broadway PMP
Alex S Brown PMP IPMAC
Ian A Brown MBA PMP
Jerry L Brown PMP
Joan Browne
Jeannine Allison Bryan
Pat Buckna PMP
Camper Bull PMP
Mitchell S Burke MS MBA
Janet P Burns PMP
Kenny E Burrow PhD PMP
Bernardo O Bustamante
PE PMP
John Buxton PE PMP
Andrea Caccamese PMP
PRINCE2 Practitioner
Roberto Alejandro Cadena
Charles Cain PMP
Teresa W Calhoon PMP
Sergio A Calvo PMP
Luis Eduardo Torres Calzada
MPM PMP
Franco Caron PhD
Alejandro M Polanco Carrasco
Chris Cartwright MPM PMP
Brian L Cassita
Roberto Castro
William A Cather PhD PMP
Roberto Celkevicius PMP ITIL
Bruce C Chadbourne
PMP PgMP
K K Chakraborty PMP BE
Krishna Datta Nallani
Chakravartula MBA PMP
KaKeung Chan PMP MBA
Paul E Chaney PMP
Supriyo Chatterji MCA PMP
Tony Tze Wai Chau PMP MAPM
Noman Zafar Chaudry PE PMP
Ashish Chawla MS
Zhen Cheng
David Kwok Keung Chenung
Ramesh Chepur CSQA PMP
David K Cheung MSc MBA
Tomio Chiba PMP
Ananaba Marcellinus
Chikwendu MBA PMP
HsingTung Chou PhD
LungHung Roger Chou
PMP MCT
David Christensen
Manuel Cisneros MBA PMP
Douglas Clark
Darrell S Cleavenger PMP
Alexandre Coelho PMP
Richard J Coffelt PMP
Brenda Connor PMP
Terry CookeDavies PhD FCMI
Edmund H Conrow PhD PMP498 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Betty Corbin PMP
John E Cormier PMP
Mauricio E Cornejo PMP
Anthony R Corridore PMP
William T Craddock
Larry E Criger PE PMP
Darren D Criglar MLA MA
Jacqueline M Cruit PMP
Mary Colleen Cullinan PMP
Michael J Cunningham PMP
Craig CurranMorton MA PMP
Robert L Cutler PMP
Barbara Y DaCosta MPA PMP
Venkatesh Dakshinamurthy
Claudio D’Arcangelo PMP
Claudio Da Rold PMP
Anirban Das PMP
Venkateswarlu B Dasigi
PhD PMP
Patricia A DavidGentsch
Allan Edward Dean MBA PMP
Jim Delrie PE PMP
Madhavi Desai MS PMP
Rahul P Deshpande
Anita Dhir PMP
Laurie Diethelm CAPM
David Dominguez
Nick Doralp PMP ECM
George R Dorer MBA PMP
Bernadine Douglas
Nicolas Douliez
Nigel O D’Souza PMP ITIL
John A Dullnig PMP
Francine J Duncan MIEEE PMP
Azra Duric PMP
Teresa Duvall PMP CDR
Phillip Dyer PMP
G Ebynayagam
Susan Holly Edelman PMP
Judith A Edwards PhD PMP
Paul J Egan
Tarek ElMisalami PhD PMP
Waleed M ElToulkhy PMP
Ramon Espinoza PMP
Brian M Evans PMP
Peter EwartBrookes PMP
Steven L Fahrenkrog PMP
Bruce E Falk PMP
John L Fallon PMP
Giovanni Fanduiz MSc PMP
Sabeeh U Faruqui
BE Elect PMP
Kathleen M Federici
MEd CAPM
AnnaMaria Felici PMP CMC
Luis Cláudio Tavares
Fernandes PMP
Marcelo B Ferreira
Ann Marie Ficarra PMP
Michael H Fisher MSPM PMP
Matthew J Fiske PE PMP
Cheryl Fitzgarrald PMP
Edgardo J Fitzpatrick PMP
Martin Flank MBA PMP
Joel E Fleiss PMP
Quentin W Fleming
Gloria Elena Folle Estrada
Charles T Follin PMP
Dean J Fragos
Amanda Freitick
Scott D Freauf PMP
Mark R Friedman CISA PMP
Scott J Friedman PMP
Andrew H Furber PMP PRINCE2
W Anders Fusia PMP
Ravindra Gajendragadkar PMP
Sharyn H Gallagher EdD PMP
Xue Gang (Gabriel) PMP QSLA
George F Garas MBA
Jose Eduardo Motta Garcia
MBA PMP
Anand Swaroop Garg
Stanisław Gasik
Jay D Gassaway
David P Gent CEng PMP
Mitchlyn Gentry MISM
Joseph Sanju George
Subir Ghosh PMP
Carl M Gilbert PMP OPM3AC
Peter James Gilliland PMP
Theofanis Giotis MSc PMP
Fernando Hurtado Giraldo
Jonathan Glaser PhD PMP
Sulema de Oliveira Barcelos
Gobato MSc PMP
Joelle A Godfrey PMP
Vivek Goel PMP
Marshall Goldman PMP
Roger K Goodman PMP499©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Jean Gouix Eng PMP
Priyesh Gopalakrishnan
Derek R Grant BSc PMP
Thomas J Gray PE PMP
Paul A Green BSc (Hons)
Donn Greenberg
Roy Greenia
Stephen Grey PhD
Mireya Grieco PMP
Liz Grinzo PMP
Torben Grut PMP
Jeff Jianfei Gu MBA PMP
Ruth Anne Guerrero MBA PMP
Pier Luigi Guida Ing PMP
Joy Gumz CPA PMP
Marie Gunnerson
Swati Gupta PMP
Raj Guttha
Anne N Gwankobe PMP CSSGB
Mustafa Hafizoglu PMP
Edward Hall PMP CQM
Matthew W Handi PMP
John Haneiko PMP
Sharad S Harale PMP MIM
Kurt J Harris PMP
Donna M Harrison PMP
Akkiraju V Harshavardhan PMP
Dr Sheriff Hashem PhD PMP
Mohamed Hassan PMP CSWP
Lawrence Hattenburg PMP
Larry J Hawkins DSc PMP
Ernesto Yo Hayashi MEng
Jim Hayden PMP
Gary R Heerkens PMP PE
Mohamed S Hefny MSc PMP
Krzysztof Hejduk PhD PMP
Kel Henderson
Robert Hierholtz
Gary Higgs
Hideyuki Hikida PMP
Merleen Cowie Hilley
Bob Hillier PMP
David A Hillson PhD PMP
Lecia L Hogan MPM
Mark Holdrege
Carol Holliday MA PMP
Felicia Hong PMP MBA
George H Hopman PhD PE
Tim Hornett PMP
Gheorghe Hriscu PMP OCP
ChihYang Hsia PMP MBA
Jeff M Hughes BA (Hons) PMP
David T Hulett PhD
Theresa L Hunt CSQE CSTE
Marta Hurst CLSSBB
JeanPierre Husereau PMP
OPM3CC
Huma Hydari MBA PMP
Zulfiqar Hussain PE PMP
Midori Ito
Suhail Iqbal PE PMP
George Jackelen
David S Jacob MS PE
Tony Jacob PMP
Dhanojkumar D Jadhav
Ashok Jain PAHM PMP
TD Jainendrakumar PMP
Nilesh D Jaltare PMP
Ganesh Jambunathan PMP
Raj Kumar Jhajharia PMP
Marco Antonio Jimenez
PMP MBA
Merna M Johnson PMP
Tony Johnson PMP PgMP
Elden F Jones II PMP MSPM
Marylinda Jones PMP Six
Sigma Greenbelt
Michele J Jones PMP
Nancy A Joseph PMP
George Jucan PMP
Marijana Jurgec
Lenin Babu Kamma PMP
Nils Kandelin PhD PMP
Edwin J Kapinus PMP PE
Sanjay Kapoor
Carl Karshagen PMP
Puja Kasariya PMP
Kenneth P Katz PMP
Ramakrishna Kavirayani PMP
Kenichi Kawamata PMP
Genny Kelly
Lance Kelson CISSP PMP
Tom Kendrick PMP
Roger Kent PMP
Joseph W Kestel MSIS PMP
Rameshchandra B Ketharaju
Thomas C Keuten PMP
OPM3CC
Hamed Keyvanfar500 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Tausif Khawaja
Jim Kinard PMP
Konstantinos Kirytopoulos
PhD PMP
Joan Knutson PMP
Kimberly A Kook PMP ITIL
Foundations
Roman S Kosarzycki PMP
Chetana S Koulagi PMP CSQA
Mark Krahn PhD PMP
Edie E Kubomoto PMP CQM
Takahiko Kuki PMP JPE
Milan Kumar MCM ITIL
Sasi Kumar PMP
Karthikeyan Kumaraguru
MS PMP
Vijaya Kurada MBA PMP
Thomas M Kurihara
Lisa M LaCourse PMP
Jerry D Lainhart PMP
S Lakshminarasimhan
MBA(Fin) PMP
Tim KY Lam PMP MBA
Philippe Landucci PMP
David J Lanners MBA PMP
David K Larson
MaryElizabeth Larson
PMP CBAP
Richard G Larson PMP CBAP
Marta M Laszcz PMP
Charlene Lattier PMP
Jim Lee Sr PMP
Patty Leung
Juanita Jane Lightfoot
Donald Likens
Diana Lilla MA PMP
Michelle Z LimWatson
Robin Lindenmeier PMP
Michael Linegar PMP MBA
Kristin Linoski PMP
John D Lissaman BEng PMP
Arden Lockwood MBA PMP
Mary K Lofsness
Anand Lokhande PMP
Alberto Lopez PMP
Enrique LópezMingueza PMP
Margaret L Love PMP
Adrian LovelHall
Angela ChengJui Lu PhD PMP
Chuanqing James Lu PMP
Yves M Lucas PMP
Christina Luik
Raymond Maczka
Shankar Mahadevan PMP CWA
Robin Maher
Catryana C Malcolm PMP
Konstantinos Maliakas PMP
Rich Maltzman PMP
Vasantha R Manda MS PMP
Rick Mandarino PMP MBA
Srinivas Mandgi PMP SAP HR
Carmelene Mangahis
Ammar W Mango PgMP PMP
Brian J Mangravite
Joachim Manz PhD PMP
Lou Marks PMP
Mark Marlin PMP PE
Robert A Marshall PhD PMP
Cristinel Damian Martalogu
John A Marzullo PMP
Rebecca P Masucci
Jamie Mata
Mohit Raj Mathur PMP
Nael Mattar
Rahma Mbarki Eng MSc MBA
Laura McDonough PMP
Colleen A McGraw PMP
David McKenna MSc PMP
Yan Bello Méndez PMP
Louis J Mercken PMI
Fellow PMP
Su MeiShih PMP
Kenneth Merten
Predrag Fred Mikanovic
MBA PMP
Berne C Miller PMP CPL
Walter Warren Miller III
PhD PMP
Sumith Alvet Miranda PMP
Purvi Sheth Mishra
Gregg Mohrmann
Mark A Monteleone PMP CBAP
Gary Monti PMP
Carlos Morais PMP
John Morck
Alberto Moreno PMP
Paola Morgese PE PMP
Kaoru Mori PMP
Rogan Morrison PMP
Saradhi Motamarri MTech PMP
Bhagchand S Motwani
Stephen E Mueller PMP EVP501©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Hazim Muhssin PMP
Rita Mulcahy PMP
Philips Tharakan Mulackal
PMP CCE
Gerald Mulenburg DBA PMP
John L Murphy PE PMP
Pradeep Murti
Carlo Muzzarelli
Takamichi Nagano
Prakash Nagaraju PMP
John T Napier
Kalyanraman Narayanswamy
PMP
Faig Nasibov PMP
Muhammad Nasir
John T Nelson BSc
Mohammed Taher Netarwala
BE Mech PMP
Edgard Pedreira de Cerqueira
Neto PhD PMP
Michael Newell PMP
Thuthuy C Nguyen PMP
Praveen K Nidumolu PMP
Jeffrey S Nielsen PMP
James S Niziurski PMP
Michael C Nollet MBA PMP
Peter Ntiforo PMP BSc (Hons)
Jeff Nuding PMP
Michael O’Brochta MPM PMP
Deborah O’Bray CIM (Hons)
Edward A O’Connor PMP
Charis Ogbonna
Kazuhiko Okubo PE PMP
James Ostad PMP
Dmitry Ostroushko PhD
Beth Ouellette MBA PMP
Priya Padmanabhan PMP
Nariman Panahian PhD PMP
Mohan Pandey MPharm
PGDM(IIMA)
Tara Pangakis PMP
Leah Paras PMP
Balaji Parasuraman
Kent D Paris PMP
Hyung Ki Park PMP
William J Parkes PMP
Frank R Parth MBA PMP
Jerry L Partridge PMP
George Pasieka aCPP PMP
Marcello Patrese PMP MPM
Mridul Paul PMP MBA
Peter B Paulauskas PMP
Seenivasan Pavanasam
B Tech PMP
Almir dos Santos Pereira PMP
Nancy Perosio PMP
Robert E Perrine PMP
Sitarama Chakravarthy
Peruvel PMP
Bruce T Petro PMP
Daniel Picard PMP
Crispin (Kik) Piney BSc PMP
George Pitagorsky PMP
Rama P Pokala PMP
Morris A Pondfield MBA MS
Roberto Henrique Nogueira Pons
Charles M Poplos EdD PMP
Steven S Popovich
Steven R Potter PMP
Janice Preston PMP
Carl L Pritchard PMP EVP
Carl W Pro PMP
Nathan Pryce EMTM PMP
Javier Pumar PMP
Jan FM Raes PhD PMP
Regina Rahmilov
V Raja PMP
Aditya Rajguru PMP
S Ramani PgMP PMP
Ananthakrishnan
Ramaswami PMP
Claudia Elisa Ramírez PMP
Dave Randell PMP
Gurdev S Randhawa PMP
Shrish Rangaramanujam PMP
Banshidhar Rayaguru PMP
M Tech
Krupakara Reddy PMP PRINCE2
Practitioner
Caroline Robison PMP
Ana I Rodríguez García PMP
Asbjørn Rolstadås PhD Ing
Rafael Fernando Ronces
Rosas PMP
Kenneth H Rose PMP
Prakash Roshan PMP
David W Ross PMP PgMP
Neal L Rowland PMP
Jaideep Roy
Laurie M Rudnitsky PMP
Lee Ryan
Nani SadowskiAlvarez PMP502 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Osamu Sakamoto PMP
Brian Salk MA Ed PMP
Gladstone Leslie Samuel
Paul Sanghera PhD PMP
Satheesh Santhangopalan PMP
Otavio Ritter Santos PMP
Rick B Santos MBA PMP
Vikas Sarin ME(SS)MCA
Ramanathan Sathianaraynan
PMP CSQA
Kyoichi Sato PMP
Curt Schlonies PMP
Eugene Schreiner
John Schuyler PE PMP
Salvatore J Sciascia PMP
Anna Self
Benjamin R Sellers PMP CPCM
Kathakali Seth
Mark B Shadowens PMP
Paul E Shaltry PMP
Archana Sharma MS PMP
Dhilan N Shah CPA PMP
Manar Shami PhD PMP
Shervin Shariatpanahi
Mojtabanejad
Pawan Sharma
Rachna Sharma
John Sheers PMP
Jinmei Shen PMP
Nitin Shende
Eng SM Saliha Sheriff
MBA PMP
Kazuo Shimizu PMP
Toshihiro Shoji PMP
Hilary Shreter MBA PMP
Evandro LP Silva
João Carlos A Silva Neto
Msc PMP
Michael D Simants
Michael Simmering PE
OPM3CC
Nicklaus B Sims PMP
Manas Singh
Siddharth Singh
John Singley PhD PMP
Marzena Zych Skrzypkowska
Kathy J Slater PMP
Martin J Smit PMP
Carolyn E Smith PMP
Bruce F Snow
Juliette A Soczka
Jorge Garcia Solano PMP
John P Soltesz PE PMP
Nguyen Hoanh Son
Brijesh Sonawane PMP
Mauro Sotille PMP
Patricia Spadea PMP
Bernd Spiehl
Carolina Gabriela Spindola
SSBB PMP
Clifford W Sprague PMP
Rob Spurgeon
Varadarajan Sriram
Pranay Srivastava PMP CISA
Jolene R Staruch PMP
Joyce Statz PhD PMP
Doug Stephon
Samuel N Stevens III PhD
Delores Stimpson PMP
Roberta Storer
Dr Kenneth D Strang PhD PMP
Geree V Streun CSQE PMP
Michael E (Mike) Strom PMP
Juergen Sturany PMP
Chinta VN Subrahmanyam
PMP
Brian T Sullivan PMP
Raghavan Sundararajan PMP
Yasuji Suzuki PMP
Rashid M Syed MBA PMP
Michal Szymaczek PMP
Amin Tabatabayi BEng MBA
Shoji Tajima PMP
Masanori Takahashi PMP MA
Paraminder Talwar PMP
Randy Tangco PMP CSM
Nilesh Adrian Pieris Tavarayan
AMBCS MACS (Prov)
John Terdik PMP DCB
Gangesh Thakur CPIM CSCP
Jaimini Thakore
Pham Minh Thang
ClaireJodane Thermidor
William M Thom PMP
Darin Thomas PMP
William J Thompson PE PMP
Rocky Thurston PMP
Linus G Tibayan FLMI PMP
Surendra Tipparaju ME
Lulu V Tobin PMP
Victoria TodasLozada PMP
Mark Tolbert503©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Nagla Toma MA
Carolyn A Toomer PMP
Terry D Tosh PMP
Lee Towe PMP MBA
Biagio Tramontana Ing PMP
R Trant BA C Mar Eng
Ricardo Triana PMP
Daniel J Troxell MBA PMP
ShiJa Tseng
William Stephen Turner
Vidyasagar Uddagiri PMP
Nnanna Charles Ukaegbu
PE PMP
Krishnakant T Upadhyaya PMP
Eric Uyttewaal
MS Business PMP
Ali Vahedi Diz MSc PMP
Jorge Valdés Garciatorres
PMP ITIL
Dennis K Van Gemert MS PMP
Paula Ximena Varas PMP
Ricardo Viana Vargas MSc PMP
Jouko Vaskimo PMP
Thierry Verlynde PMP
Malay Verma PMP PGCBM
Vijay K Verma PMP MBA
Aloysio Vianna Jr
David Violette MPM PMP
Pepijn Visser
Cornelis (Kees) Vonk
Paul E Waits Jr PMP CPM
Mike Wakshull PMP MSc
Ronald P C Waller
PMI Fellow PMP
Barbara Walsh CAPM
Thomas M Walsh PMP
Steve J Walter PhD CSEP PMP
Xiaojin Wang PhD PMP
Lou Ware PMP
William W Wassel PE PMP
Ian J Watson PMP
Michael D Watson PMP
Patrick Weaver PMP FAICD
John A Weber PMP
Kevin R Wegryn PMP CPM
Linda Westfall CSQE PE
John White
Mark Wilfer PMP
Donald Wilkinson PMP
Nancy Wilkinson MBA PMP
Dale K Williams PMP CSM
Terry Williams PhD PMP
John Wilson PhD PMP
Rebecca A Winston JD
Michael Witzorky PMP
Audrey R Wojcik
Nan Wolfslayer AStd
Rick Woods SSBB PMP
Mark A Wright PMP
Vicki Wrona PMP
Andrew Lam Tug Wye PMP
CITPM (Associate)
Kazuo Yamamoto PMP
Shahrzad Yazdani PMP LSS GB
Clement CL Yeung PMP
Masakazu Yonezaki
Tan EE Yuen Yvonne
Azam M Zaqzouq MCT PMP
Omran M Zbeida
Xuyan Zhang
Rob Zilay MBA PMP
K Kimi Hirotsu Ziemski PMP
Paul W Zilmer PMP
William A Zimmer PMP
Heinz Zimmermann MSc PMP
John Zlockie MBA PMP504 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
X2101 Other Contributors
X210 The PMBOK® Guide—Third Edition
Dennis Bolles PMP Project Manager
Darrel G Hubbard PE Deputy Project Manager
J David Blaine PMP (Quality Control Coordinator)
Theodore R Boccuzzi PMP (Document Research Team Leader)
Elden Jones PMP (Configuration Management Coordinator)
Dorothy Kangas PMP (Product Overview Team Leader)
Carol Steuer PMP (Framework Team Leader)
Geree Streun PMP (Process Groups Team Leader)
Lee Towe PMP (Special Appointment)
Abdallah AbiAad PMP PEng
Muhamed Abdomerovic PMP
Adrian Abramovici PMP
Fred Abrams PMP CPL
Yassir Afaneh
Hussain Ali AlAnsari
Eur Ing CEng
Mohammed Abdulla AlKuwari
Eur Ing CEng
Jamie K Allen PMP
Mark Allyn PMP
Sumner Alpert PMP CMC
Frank Anbari
Scott C Anderson PMP
Lionel Andrew MBA ISP
Russell Archibald PMP
Prabu V Ayyagari PhD PMP
William W Bahnmaier PMP
Alfred Baker
Ernest Baker PMP
Pamela M Baker PMP
W Clifton Baldwin PMP
B D Barnes
Kevin E Bast PMP
Jefferson Bastreghi
Mohammed Safi Batley MIM
Julia M Bednar PMP
James S Bennett PMP
Cynthia A Berg PMP
Sally Bernstein PMP
Mamoun A Besaiso CE
Ionut C Bibac
Howland Blackiston
J David Blaine PMP CSQE
Ray Blake PMP
Nigel Blampied PE PMP
Dennis Bolles PMP
Stephen Bonk
Barbara Borgmann PMP
Charles W Bosler Jr
Gregory M Bowen CSDP
Rollin O Bowen Jr
Carolyn Boyles MBA PMP
David Bradford PMP
James (Jim) P Branden
MBA PMP
Wayne R Brantley PMP MS Ed
Gary D Brawley PEng PMP
Alex S Brown PMP
Timothy S Brown
Stephen C Burgan PMP505©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Anne Cagle PMP
Dean J Calabrese PMP
Neil R Caldwell
Giuseppe A Caruso PMP
Edgard P Cerqueira Neto
PhD PMP
Bruce Chadbourne
Bill Chadick PMP
Clare Chan
Porfirio Chen Chang MBA PMP
Ho Lee Cheong PhD MIMechE
Gene Chiappetta PMP
Tomio Chiba PMP
Mark T Chism PMP
Aaron Coffman PMP CQM
Kim D Colenso PMP CSQE
Edmund H Conrow PhD PMP
Helen S Cooke PMP
Michael Corish
John E Cormier PMP
John Cornman PMP MBA
Sergio R Coronado
Andy Crowe PMP
Robert L Cutler PMP
Darren Dalcher PhD MAPM
Mario Damiani PMP
Shari M Daniel PMP
Arindam Das
Pranab Das PMP
Aloysio da Silva
Allan E Dean
Robert de Jong PMP
Juan De La Cruz
M Pilar De La Cruz
Alfredo del Cano PE PhD
Connie Delisle
Andrea Giulio Demaria PMP
John M Dery PMP
Barbara De Vries PMP
Ravi Kumar Dikshit PMP
Jerry Dimos PMP
James A Doanes
Capt Nick Doralp PMP
John Downing
Magnus Karl Drengwitz PMP
Daniel Dudek
Peter Duignan PMP
Lloyd R Duke Jr PMP
Suhas Dutta PMP
Judith Edwards PhD PMP
Bradford R Eichhorn PMP
Gary S Elliott MS MD
Robert L Emerson PMP
Alison Evanish
Gregory William Fabian PMP
Steven L Fahrenkrog PMP
Morten Fangel PhD
Keith Farndale PEng PMP
Martin Christopher Fears PMP
Eve Featherman
AnnaMaria Felici
Flynn M Fernandes MSPM
PMP
John C Buck Field MBA PMP
Linda Fitzgerald
Quentin W Fleming
David Foley MBA
Kirby Fortenberry PMP
Gary W Fortune PMP
John M Foster PMP MBA
Scott D Freauf PMP
Denis Freeland
Ichiro Fujita PMP
John S Galliano
Donald G Gardner PMP
Stanisław Gasik
Jackelen George
Jose A George B Tech PGDM
Dan Georgopulos
Paul H Gil MCP PMP
Greg Githens PMP
Earl Glenwright PE VEA
Leo AGiulianetti PMP
Christopher A Goetz PMP
Donna Golden
Dan Goldfischer
Neil P Goldman PMP
Margarida Goncalves PhD
John C Goodpasture PMP
Dana J Goulston PMP
Neal S Gray PMP
Steve Grey PhD PMP
Robert J Gries PE PMP
Mike Griffiths PMP
Patrick D Guest PMP
Jinendra Gunathilaka PE
Navneet Gupta PMP
David R Haas PMP FLMI
Aaron S Hall PMP
Robert W Harding RA
Delbert K Hardy PMP
Patti Harter506 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
J Ray Harwood PMP
Ali Hassan PMP
Ralph Hernandez
Rick Hiett
Pat Hillcoat PMP
Bob Hillier PMP
David Hillson PhD PMP
Guy N Hindley MAPM MILT
Danny N Hinton PMP
Bobby Tsan Fai Ho PMP CISM
J Brian Hobbs PhD PMP
Piet Holbrouck MSc
Carol Holliday PMP
Gopi V Hombal
Martin Hopkinson BSc APMP
Keith D Hornbacher MBA
Darrel G Hubbard PE
Kenneth Alan Hudacsko PMP
David T Hulett PhD PMP
Clinton in’t Veld
Adesh Jain PMP MPD
Don R James PMP
Grant Jefferson
Noel C Jensen PMP
Wei Jing
Bruce Johnson PMP
Elden Jones MSPM PMP
Granville H Jones Sr
MBA PMP
Kevin B Jones BMath PMP
Howard J Kalinsky PMP MPM
Constance Katsanis
Roger Kent
Tom Kerr PMP
Ajmal Afzal Khan
Asadullah Khan PMP
Lucy Kim PE PMP
Mihail Kitanovski
Jennifer Eileen Kraft
Takahiko Kuki PE PMP
Polisetty VS Kumar
M Tech PMP
Avis Kunz
Thomas Kurihara
Antonio Carlos Laranjo da Silva
John S Layman PMP
Lawrence (Larry) P Leach PMP
Craig Letavec
Ben Linders
Erik D Lindquist PE PMP
Mary K Lofsness
Elizabeth Ann Long PMP
Raul S Lopez PE PMP
Enrique LopezMingueza PMP
Pier Paolo Lo Valvo PMP
Karen Griffin MacNeil PMP
Sajith K Madapatu PMP
Vijaya Kumar Mani PMP
Mark Marlin PMP
Enrique Martinez
Victor J Matheron PMP
Stephen S Mattingly
Christopher J Maughan
CEng PMP
Giuseppe Mauri
Yves Mboda PMP
David L McPeters PMP
Ed Mechler PMP
Godfrey I Meertens PMP
Richard Meertens MBA PMP
Yan Bello Mendez PMP
Gordon R Miller PMP CCP
Liu Min
Santosh Kumar Mishra
PMP CSQA
Andrew H Moore MBA PMP
Colin Morris PE PMP
Saradhi Motamarri M Tech PMP
Mhlabaniseni Moses Mitmunye
Rita Mulcahy PMP
Charles L Munch PMP
KS Keshava Murthy
Jo Musto PMP
AnathaKrishnan
S Nallepally PMP
NB Narayanan
Vijayalakshimi Neela MCA PMP
Beatrice Nelson PMP
Brian D Nelson PMP
Jeffrey S Nielsen PMP
Isabella Nizza PMP
Jim O’Brien PMP
Kazuhiko Okubo PE PMP
David M Olson MBA (ITM)
Peter Ostrom PhD PMP
Jeffery L Ottesen PE
Michael T Ozeranic
Laura Dorival Paglione
Ravindranath Palahalli507©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Glen R Palmer
Jon Palmquist
Nick Palumbo PMP
David Parker
Jerry L Partridge PMP
George Pasieka PMP
Eric Patel
Anil Peer PEng PMP
Francisco PerezPolo
Paul W Phister Jr PhD PE
Crispin (Kik) Piney BSc PMP
Natasha Pollard
Sreenivasa Rao Potti MCA PMP
Manohar Powar PMP
Ravindranath P S
Patrick J Quairoli
Ge Qun
Vara Prasad Raju Kunada
Gurdev Randhawa
Prem Ranganath PMP
Raju Rao PMP
Ulka Rathi
Carol Rauh PhD PMP
Tony Raymond
Vijay Sai Reddy PMP CSQA
J Logan C Rice
Steven Ricks PMP
Steven F Ritter PMP
Thad B Ring PMP
Dee Rizor
Susan Rizzi
Michael C Roach
Alexandre G Rodrigues PhD
Cheryl N Rogers PMP
Asbjorn Rolstadas PhD
Hans (Ron) Ronhovde PMP
Scott A Rose PMP
Ed Rosenstein PMP
David W Ross PMP
Samuel S Roth PMP
Joseph A Roushdi
Gurdev Roy PMP
Paul S Royer PMP
James J Rutushni PMP
Robbi Ryan
Frank Ryle PMP
Anjali Sabharwal PMP
Srinivasa R Sajja PMP
Brian Salk MA Ed PMP
Nashaat A Salman PMP
Kyoichi Sato
Markus Scheibel PMP DiplIng
Suzanne Lee Schmidt PMP
John Schmitt PMP
Amy Schneider PMP
Michael J Schollmeyer PMP
Randa Schollmeyer PMP
Richard E Schwartz
Andrea R Scott
Benjamin R Sellers PMP CPCM
Tufan Sevim PMP
Sanjay Shah PMP
Mundaje S Shetty PMP
Kazuo Shimizu PMP
Rali Shital
Ganga Siebertz
Larry Sieck
Melvin Silverman PhD PE
Fernando Demattio de O
Simoes PMP
Richard L Sinatra PhD PMP
Raghavendra Singh
John E Singley PhD PMP
Edward Smith
Patricia Smith
Cynthia Snyder MBA PMP
Antonio Soares
Paul Solomon PMP
Richard Spector PMP
Allison St Jean
Michael Stefanovic PEng PMP
Geree Streun PMP
Juergen Sturany
Donglin Su
Sambasivam S PMP CSQA
George Sukumar MSChe OE
Karen Z Sullivan PMP
Karen Tate MBA PMP
David E Taylor PMP
James E Teer Jr
Sai K Thallam MBA PMP
John A Thoren Jr PhD PMP
Surendra Tipparaju ME
Massimo Torre PhD PMP
Luis Eduardo Torres Calzada
MBA PMP
Rogerio Carlos Traballi
Lee Towe MBA PMP
Rufis A Turpin CQA CSQE508 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Marion J Tyler PMP
M Raj Ullagaraj PhD
Bobbye Underwood PMP
Eric Uyttewaal PMP
Dalton L ValerianoAlves ME
JR Vanden Eynde PMP
Gary Van Eck
Judy Van Meter
JR Vanden Eynde PMP
Gerrit van Otterdijk BSc
Thomas G Van Scoyoc PMP
Paula X Varas PMP
Ricardo Vargas
Ricardo Viana Vargas MSc PMP
Aloysio Vianna Jr
Mark M Vertin PE PMP
Craig Veteto PMP CPIM
Roberto Viale PMP
Eduardo Newton Vieira PMP
Dave Violette MPM PMP
Desmond Joseph Vize PMP
Cornelius (Kees) Vonk PMP
J Wendell Wagner PMP
Barbara Walsh
Thomas M Walsh PMP
William W Wassel PE PMP
Patrick Weaver PMP FAICD
Kevin R Wegryn PMP CPM
Timothy E Welker PMP
Linda Westfall PE CSQE
Gwen Whitman PMP
Tammo T Wilkens PE PMP
Alan K Williams Sr PMP
Charles M Williamson
MBA PMP
Stephen D Wise
Allan Wong
Robert Wood
Kristin L Wright
Thomas Wuttke PMP CPM
Uma S Yalamanchili PMP
Clement CL Yeung PMP
Angela F Young PMP
John Zachar BSc APMP
Kathy Zandbergen
Cristine Zerpa
Paul Zilmer
Eire E Zimmermann PMP
X211 The PMBOK® Guide—2000 Edition
Cynthia A Berg PMP
Judith A Doll PMP
Daniel Dudek PMP
Quentin Fleming
Greg Githens PMP
Earl Glenwright
David T Hulett PhD
Gregory J Skulmoski509©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Muhamed Abdomerovic PMP
D Eng
John R Adams
Yassir Afaneh
Frank Allen PMP
Jon D Allen PMP
MaryGrace Allenchey PMP
Robert A Andrejko PMP
Ichizo Aoki
Paul C Aspinwall
Ronald Auffrédou PMP
Edward Averill PMP
Frederick L Ayer PMP
William W Bahnmaier PMP
A C Fred Baker PMP
Carole J Bass PMP
George Belev
Berndt Bellman
Sally Bernstein PMP
Nigel Blampied PE PMP
John Blatta
Patrick Brown PMP
Alfredo del Caño
Chris Cartwright PMP
Bruce C Chadbourne PMP
Michael T Clark PMP
Raymond C Clark PE
Elizabeth Clarke
David Coates PMP
Kim Colenso PMP
Edmund H Conrow PMP
Kenneth G Cooper
Sergio Coronado Arrechedera
John Cornman PMP
Richard F Cowan PMP
Kevin Daly PMP
Mario Damiani PMP
Thomas Diethelm PMP
David M Drevinsky PMP
William R Duncan
Frank D Einhorn PMP
Steven L Fahrenkrog
Edward Fern PMP
Lisa Fisher
Christian Frankenberg PMP
Scott D Freauf PMP
JeanLuc Frere PMP
Ichiro Fujita PMP
Chikako Futamura PMP
Serge Garon PEng PMP
Brian L Garrison PMP
Lewis M Gedansky
Linda V Gillman
Eric Glover
Eva T Goldman
Peter Bryan Goldsbury
Michael Goodman PMP
Jean Gouix PMP
Paul Grace
Alexander Grassi Sr PMP
Roger Graves
Franz X Hake
Peter Heffron
Chris Herbert PMP
Dr David Hillson PMP FAPM
J Brian Hobbs PMP
Marion Diane Holbrook
Robin Hornby
David Hotchkiss PMP
Bill Hubbard
Charles L Hunt
Thomas P Hurley PMP
George Jackelen
Angyan P Jagathnarayanan
Sandy Jenkins
Elden F Jones II PMP CMII
Sada Joshi PMP
Lewis Kana PMP
Subramaniam Kandaswamy
PhD PMP
Ronald L Kempf PMP
Robert Dohn Kissinger
PhD PMP
Kurt V Kloecker
Toni D Knott
Jan Kristrom
Blase Kwok PMP
Sam Lane
Lawrence P Leach
Philip A Lindeman
X2111 Other Contributors510 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Gábor Lipi
Lyle W Lockwood PMP
J W Lowthian PMP
Arif Mahmood PMP
James Martin (on behalf
of INCOSE)
Stephen S Mattingly
Glen Maxfield
Peter McCarthy
Rob McCormack PMP
John McHugh
Krik D McManus
Dewey L Messer
David Michaud
Mary F Miekoski PMP
Oscar A Mignone
Gordon R Miller PMP
Roy E Morgan PMP
Jim Morris PMP
Bert Mosterd PMP
William A Moylan PMP
John D Nelson PMP
Wolfgang Obermeier
Cathy Oest PMP
Masato Ohori PMP
Kazuhiko Okubo PE PMP
Edward Oliver
Michelle Triggs Owen
Mark S Parker
Shirley B Parker
Matthew H Parry
Jerry Partridge PMP
Francisco PerezPolo PMP
James M Phillips PMP
Crispin (Kik) Piney PMP
George Pitagorsky PMP
David L Prater PMP
Janice Preston
Bradford S Price PMP
Samuel L Raisch PMP
Naga Rajan
G Ramachandran PMP
Stephen Reed
Bill Righter PMP
Bernice L Rocque PMP
Wolfgang Theodore Roesch
Fernando Romero Peñailillo
Jon Rude
Linda Rust PMP
Fabian Sagristani PMP
James N Salapatas PMP
Seymour Samuels
Bradford N Scales
H Peter Schiller
John R Schuyler PMP
Maria Scott PMP
Shoukat Sheikh MBA PMP
Larry Sieck
Kazuo Shimizu PMP
David Shuster
Melvin Silverman PhD PE
Loren J Simer Jr
Keith Skilling PE PMP
Ed Smith
Kenneth F Smith PMP
Barry Smythe PMP
Paul J Solomon
Joe Soto Sr PMP
Christopher Wessley Sours PMP
Charlene Spoede PMP
Joyce Statz PMP
Emmett Stine PMP
Alan Stretton
Thangavel Subbu
Jim Szpakowski
Ahmet N Taspinar PMP
John A Thoren Jr PMP
Iesha D TurnerBrown
Alan D Uren PMP
Juan Luis Valero PMP
S Rao Vallabhaneni
William Simon Vaughan
Robinson
Ana Isabel Vazquez Urbina
Ricardo Viana Vargas PMP
Mike Wakshull
Stephen E Wall PMP
William W Wassel PMP
R Max Wideman
Tammo T Wilkens PE PMP
Robert Williford PMP
Robert Youker511©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
X212 The PMBOK® Guide—1996 Edition
William R Duncan
Frederick Ayer
Cynthia Berg
Mark Burgess
Helen Cooke
Judy Doll
Drew Fetters
Brian Fletcher
Earl Glenwright
Eric Jenett
Deborah O’Bray
Diane Quinn
Anthony Rizzotto
Alan Stretton
Douglas E Tryloff
X2121 Other Contributors
John Adams
Edward L Averill
C Fred Baker
F J Bud Baker
Tom Belanger
John A Bing
Brian Bock
Paul Bosakowski
Keely Brunner
Dorothy J Burton
Jeannette M Cabanis
Louis J Cabano
Kim Colenso
Samuel K Collier
Karen CondosAlfonsi
E J Coyle
Darlene Crane
David Curling
Russ Darnall
Misty N Dillard
Maureen Dougherty
John J Downing
Daniel D Dudek
Lawrence East
Quentin W Fleming
Rick Fletcher
Linda V Gillman
Greg Githens
Douglas Gordon
Leo Giulianeti512 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Appendix X2 Contributors and Reviewers of the PMBOK® Guide—Fifth Edition
Martha D Hammonds
Abdulrazak Hajibrahim
G Alan Hellawell
Bobby R Hensley
Jonathan Hicks
Paul Hinkley
Wayne L Hinthorn
Mark E Hodson
David T Hulett
Edward Ionata
Lew Ireland
Elvin Isgrig
Murray Janzen
Frank Jenes
Sandy Jenkins
Walter Karpowski
William F Kerrigan
Harold Kerzner
Robert L Kimmons
Richard King
J D Kaay Koch
Lauri Koskela
Richard E Little
Lyle W Lockwood
Lawrence Mack
Christopher Madigan
Michael L McCauley
Hugh McLaughlin
Frank McNeely
Pierre Menard
Dewey L Messer
Rick Michaels
Raymond Miller
Alan Minson
Colin Morris
R Bruce Morris
Danell Moses
David J Mueller
Gary Nelson
John M Nevison
John P Nolan
Louise C Novakowski
James O’Brien
JoAnn C Osmer
Jon V Palmquist
Mark S Parker
Shirley B Parker
Matthew Parry
John G Phippen
Hans E Picard
Melissa Pendergast
James S Pennypacker
Serge Y Piotte
PMI Houston Chapter
PMI Manitoba Chapter
PMI New Zealand Chapter
Charles J Pospisil
Janice Y Preston
Mark T Price
Christopher Quaife
Peter E Quinn
Hadley Reynolds
Steven F Ritter
William S Ruggles
Ralph B Sackman
Agnes Salvo
Alice Sapienza
W Stephen Sawle
Darryl M Selleck
Melvin Silverman
Roy Smith
Leonard Stolba
Craig T Stone
Hiroshi Tanaka
Ahmet Taspinar
Robert Templeton
Dick Thiel
Saul Thomashow
J Tidhar
Janet Toepfer
Michelle Triggs
Vijay K Verma
Alex Walton
Jack Way
Francis M Webster Jr
R Max Wideman
Rebecca Winston
Hugh M Woodward
Lisa Woodring
Robert Youker
Shakir H Zuberi
Dirk Zwart513©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X3 INTERPERSONAL SKILLS
APPENDIX X3
INTERPERSONAL SKILLS
Project managers accomplish work through the project team and other stakeholders Effective project managers
acquire a balance of technical interpersonal and conceptual skills that help them analyze situations and interact
appropriately This appendix describes important interpersonal skills such as
• Leadership
• Team building
• Motivation
• Communication
• Influencing
• Decision making
• Political and cultural awareness
• Negotiation
• Trust building
• Conflict management
• Coaching
While there are additional interpersonal skills that project managers use the appropriate use of these skills
assists the project manager in effectively managing the project
X31 Leadership
Leadership involves focusing the efforts of a group of people toward a common goal and enabling them to
work as a team In general terms leadership is the ability to get things done through others Respect and trust
rather than fear and submission are the key elements of effective leadership Although important throughout all
project phases effective leadership is critical during the beginning phases of a project when the emphasis is on
communicating the vision and motivating and inspiring project participants to achieve high performance514 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X3 INTERPERSONAL SKILLS
Throughout the project the project team leaders are responsible for establishing and maintaining the vision
strategy and communications fostering trust and team building influencing mentoring and monitoring and
evaluating the performance of the team and the project
X32 Team Building
Team building is the process of helping a group of individuals bound by a common purpose to work with each
other the leader external stakeholders and the organization The result of good leadership and good team building
is teamwork
Teambuilding activities consist of tasks (establish goals define and negotiate roles responsibilities and
procedures) and processes (interpersonal behavior with emphasis on communication conflict management
motivation and leadership) Developing a team environment involves handling project team problems and
discussing these as team issues without placing blame on individuals Team building can be further enhanced by
obtaining top management support encouraging team member commitment introducing appropriate rewards
recognition and ethics creating a team identity managing conflicts effectively promoting trust and open
communication among team members and providing leadership
While team building is essential during the front end of a project it is an ongoing process Changes in a project
environment are inevitable To manage these changes effectively a continued or renewed teambuilding effort is
required Outcomes of team building include mutual trust high quality of information exchange better decision
making and effective project management
X33 Motivation
Project teams are comprised of team members with diverse backgrounds expectations and individual objectives
The overall success of the project depends upon the project team’s commitment which is directly related to their
level of motivation
Motivating in a project environment involves creating an environment to meet project objectives while providing
maximum satisfaction related to what people value most These values may include job satisfaction challenging
work a sense of accomplishment achievement and growth sufficient financial compensation and other rewards
and recognition the individual considers necessary and important515©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X3 INTERPERSONAL SKILLS
X34 Communication
Communication has been identified as one of the single biggest reasons for project success or failure Effective
communication within the project team and between the project manager team members and all external
stakeholders is essential Openness in communication is a gateway to teamwork and high performance It improves
relationships among project team members and creates mutual trust
To communicate effectively the project manager should be aware of the communication styles of other parties
cultural nuancesnorms relationships personalities and the overall context of the situation Awareness of these
factors leads to mutual understanding and thus to effective communication Project managers should identify
various communication channels understand what information they need to provide what information they need
to receive and which interpersonal skills will help them communicate effectively with various project stakeholders
Carrying out teambuilding activities to determine team member communications styles (eg directive collaborative
logical explorer etc) allows managers to plan their communications with appropriate sensitivity to relationships
and cultural differences
Listening is an important part of communication Listening techniques both active and passive give the user
insight to problem areas negotiation and conflict management strategies decision making and problem resolution
X35 Influencing
Influencing is a strategy of sharing power and relying on interpersonal skills to get others to cooperate towards
common goals Using the following guidelines can influence team members
• Lead by example and follow through with commitments
• Clarify how a decision will be made
• Use a flexible interpersonal style and adjust the style to the audience
Apply your power skillfully and cautiously Think of longterm collaboration516 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X3 INTERPERSONAL SKILLS
X36 Decision Making
There are four basic decision styles normally used by project managers command consultation consensus
and coin flip (random) There are four major factors that affect the decision style time constraints trust quality
and acceptance Project managers may make decisions individually or they may involve the project team in the
decisionmaking process
Project managers and project teams use a decisionmaking model or process such as the sixphase model
shown below
• Problem Definition Fully explore clarify and define the problem
• Problem Solution Generation Prolong the new ideagenerating process by brainstorming multiple
solutions and discouraging premature decisions
• Ideas to Action Define evaluation criteria rate pros and cons of alternatives select best solution
• Solution Action Planning Involve key participants to gain acceptance and commitment to making the
solution work
• Solution Evaluation Planning Perform postimplementation analysis evaluation and lessons learned
• Evaluation of the Outcome and Process Evaluate how well the problem was solved or project goals
were achieved (extension of previous phase)
X37 Political and Cultural Awareness
Organizational politics are inevitable in project environments due to the diversity in norms backgrounds and
expectations of the people involved with a project The skillful use of politics and power helps the project manager
to be successful Conversely ignoring or avoiding project politics and inappropriate use of power can lead to
difficulty in managing projects
Today project managers operate in a global environment and many projects exist in an environment of cultural
diversity By understanding and capitalizing on cultural differences the project management team is more likely
to create an environment of mutual trust and a winwin atmosphere Cultural differences can be both individual
and corporate in nature and may involve both internal and external stakeholders An effective way to manage
this cultural diversity is through getting to know the various team members and the use of good communication
planning as part of the overall project plan517©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X3 INTERPERSONAL SKILLS
Culture at a behavioral level includes those behaviors and expectations that occur independently of geography
ethnic heritage or common and disparate languages Culture can impact the speed of working the decision
making process and the impulse to act without appropriate planning This may lead to conflict and stress in some
organizations thereby affecting the performance of project managers and project teams
X38 Negotiation
Negotiation is a strategy of conferring with parties of shared or opposed interests with a view toward compromise
or reaching an agreement Negotiation is an integral part of project management and done well increases the
probability of project success
The following skills and behaviors are useful in negotiating successfully
• Analyze the situation
• Differentiate between wants and needs both theirs and yours
• Focus on interests and issues rather than on positions
• Ask high and offer low but be realistic
• When you make a concession act as if you are yielding something of value don’t just give in
• Both parties should feel as if they have won This winwin negotiating style is preferred but not
always achievable If possible don’t let the other party leave feeling as though he or she has been taken
advantage of
• Listen attentively and communicate articulately
X39 Trust Building
The ability to build trust across the project team and other key stakeholders is a critical component in effective
team leadership Trust is associated with cooperation information sharing and effective problem resolution Without
trust it is difficult to establish the positive relationships necessary between the various stakeholders engaged in the
project When trust is compromised relationships deteriorate people disengage and collaboration becomes more
difficult if not impossible
Some actions project managers can take to help build trust518 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X3 INTERPERSONAL SKILLS
• Engage in open and direct communications to resolve problems
• Keep all stakeholders informed especially when fulfilling commitments is at risk
• Spend time directly engaged with the team asking nonassumptive questions to gain a better understanding
of the situations affecting the team
• Be direct and explicit about what you need or expect
• Do not withhold information out of a fear of being wrong but be willing to share information even if you
may be wrong
• Be receptive to innovation and address any issues or concerns in a forthright manner
• Look beyond your own interests
• Demonstrate a true concern for others and avoid engaging in pursuits that could be viewed as being
detrimental to the interest of others
X310 Conflict Management
Conflict is inevitable in a project environment Incongruent requirements competition for resources breakdowns
in communications and many other factors could become sources of conflict Within a project’s environment
conflict may yield dysfunctional outcomes However if actively managed conflicts can actually help the team arrive
at a better solution The project manager must be able to identify the causes for conflict and then actively manage
the conflict thus minimizing potential negative impacts The project team is then able to deliver better solutions and
increase the probability of project success
Project managers must develop the skills and experience necessary to effectively adapt their personal conflict
management style to the situation Managing conflict in a project environment involves building the trust necessary
for all involved parties to be open and honest and to engage in seeking a positive resolution to the situation creating
the conflict Project managers strive to establish a collaborative approach among the team members involved in
order to fully resolve the problems In situations where a collaborative approach is not possible the project manager
must then revert to other active management styles for handling the conflict eg assertiveness accommodation
avoidance or compromise
Managing conflict is one of the biggest challenges a project manager faces It draws upon all of the other
interpersonal skills of a project manager in order to lead the team to a successful resolution of the situation in
conflict519©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
APPENDIX X3 INTERPERSONAL SKILLS
X311 Coaching
Coaching is a means of developing the project team to higher levels of competency and performance Coaching
is about helping people recognize their potential through empowerment and development Coaching is used to aid
team members in developing or enhancing their skills or to build new skills required to enable project success
Coaching can take many forms and approaches In some instances formal or informal training may be developed
to increase technical skills or assist teambuilding efforts and facilitate consistent interpersonal interactions
Coaching is also used to address poor performance and to help team members overcome deficiencies in their
skill sets Coaching is distinct from counseling Counseling focuses on addressing situations where team members
won’t do something rather than can’t do If the situation is one where the team member is not performing or
meeting expectations due to a lack of skill knowledge or experience coaching can be employed to help the team
member to develop this skill and thus turn a can’t do situation into one of can do
Coaching can be a powerful motivator for teams As teams develop their skills abilities and confidence their
willingness to take on challenging or demanding tasks is increased This can lead to more effective and productive
teams
X312 References
Covey S R Seven Habits of Highly Effective People A Fireside Book Simon and Schuster New York NY
Dinsmore PC Human Factors in Project Management (Revised Edition) American Management Association
New York NY
Levin G and Flannes S Essential People Skills for Project Managers Management Concepts Inc Vienna VA
Verma V K Organizing Projects for Success PMI Newtown Square PA
Verma V K Human Resource Skills for the Project Manager PMI Newtown Square PA
Verma V K Managing the Project Team PMI Newtown Square PA521©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
REFERENCES
REFERENCES
[1] Project Management Institute 2012 PMI Lexicon of Project Management Terms Available from
httpwwwpmiorglexiconterms
[2] Project Management Institute PMI Code of Ethics and Professional Conduct Available from
httpwwwpmiorgcodeofethicsPDF
[3] Project Management Institute 2013 The Standard for Program Management – Third Edition Newtown
Square PA PMI
[4] Project Management Institute 2013 The Standard for Portfolio Management – Third Edition Newtown
Square PA PMI
[5] Project Management Institute 2013 Organizational Project Management Maturity Model (OPM3®) –
Third Edition Newtown Square PA PMI
[6] International Standards Organization 2008 ISOIEC 152882008 Systems and Software Engineering –
System Life Cycle Processes Geneva Switzerland ISO
[7] Project Management Institute 2006 Practice Standard for Work Breakdown Structures (WBS) –
Second Edition (Reaffirmed) Newtown Square PA PMI
[8] Project Management Institute 2011 Practice Standard for Scheduling – Second Edition Newtown Square
PA PMI
[9] Project Management Institute 2011 Practice Standard for Earned Value Management – Second Edition
Newtown Square PA PMI
[10] International Standards Organization 2008 ISO 90002008 Quality Management Systems – Fundamentals
and Vocabulary Geneva Switzerland ISO
[11] International Standards Organization 2004 ISOIEC 22004 Standardization and Related Activities– General
Vocabulary Geneva Switzerland ISO
[12] International Standards Organization 2012 ISO 215002012 Guidance on Project Management Geneva
Switzerland ISO523©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Glossary
1 Inclusions and Exclusions
This glossary includes terms that are
• Unique or nearly unique to project management (eg project scope statement work package work
breakdown structure critical path method)
• Not unique to project management but used differently or with a narrower meaning in project management
than in general everyday usage (eg early start date)
This glossary generally does not include
• Application areaspecific terms
• Terms used in project management which do not differ in any material way from everyday use
(eg calendar day delay)
• Compound terms whose meaning is clear from the combined meanings of the component parts
• Variants when the meaning of the variant is clear from the base term
As a result of the above inclusions and exclusions this glossary includes
• A preponderance of terms related to Project Scope Management Project Time Management and Project
Risk Management since many of the terms used in these Knowledge Areas are unique or nearly unique
to project management
• Many terms from Project Quality Management since these terms are used more narrowly than in their
everyday usage
• Relatively few terms related to Project Human Resource Management Project Communications
Management and Project Stakeholder Management since most of the terms used in these Knowledge
Areas do not differ significantly from everyday usage
• Relatively few terms related to Project Cost Management Project Integration Management and Project
Procurement Management since many of the terms used in these Knowledge Areas have narrow
meanings that are unique to a particular application area524 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
2 common Acronyms
AC actual cost
ACWP actual cost of work performed
BAC budget at completion
CCB change control board
COQ cost of quality
CPAF cost plus award fee
CPFF cost plus fixed fee
CPI cost performance index
CPIF cost plus incentive fee
CPM critical path methodology
CV cost variance
EAC estimate at completion
EF early finish date
EMV expected monetary value
ES early start date
ETC estimate to complete
EV earned value
EVM earned value management
FF finishtofinish
FFP firm fixed price contract
FMEA failure mode and effect analysis
FPEPA fixed price with economic price adjustment
FPIF fixed price incentive fee
FS finish to start525©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
IFB invitation for bid
LF late finish date
LOE level of effort
LS late start date
OBS organizational breakdown structure
PDM precedence diagramming method
PMBOK Project Management Body of Knowledge
PV planned value
QFD quality function deployment
RACI responsible accountable consult and inform
RAM responsibility assignment matrix
RBS risk breakdown structure
RFI request for information
RFP request for proposal
RFQ request for quotation
SF starttofinish
SOW statement of work
SPI schedule performance index
SS starttostart
SV schedule variance
SWOT strengths weaknesses opportunities and threats
T&M time and material contract
WBS work breakdown structure526 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
3 Definitions
Many of the words defined here have broader and in some cases different dictionary definitions
The definitions use the following conventions
• In some cases a single glossary term consists of multiple words (eg risk urgency assessment)
• When synonyms are included no definition is given and the reader is directed to the preferred term (ie
see preferred term)
• Related terms that are not synonyms are crossreferenced at the end of the definition (ie see also
related term)
Acceptance Criteria A set of conditions that is required to be met before deliverables are accepted
Accepted Deliverables Products results or capabilities produced by a project and validated by the project
customer or sponsors as meeting their specified acceptance criteria
Accuracy Within the quality management system accuracy is an assessment of correctness
Acquire Project Team The process of confirming human resource availability and obtaining the team necessary
to complete project activities
Acquisition Obtaining human and material resources necessary to perform project activities Acquisition implies
a cost of resources and is not necessarily financial
Activity A distinct scheduled portion of work performed during the course of a project
Activity Attributes Multiple attributes associated with each schedule activity that can be included within the activity
list Activity attributes include activity codes predecessor activities successor activities logical relationships leads
and lags resource requirements imposed dates constraints and assumptions
Activity Code One or more numerical or text values that identify characteristics of the work or in some way
categorize the schedule activity that allows filtering and ordering of activities within reports
Activity Cost Estimates The projected cost of the schedule activity that includes the cost for all resources required
to perform and complete the activity including all cost types and cost components
Activity Duration The time in calendar units between the start and finish of a schedule activity See also duration527©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Activity Duration Estimate A quantitative assessment of the likely amount or outcome for the duration of an
activity
Activity Identifier A short unique numeric or text identification assigned to each schedule activity to differentiate
that project activity from other activities Typically unique within any one project schedule network diagram
Activity List A documented tabulation of schedule activities that shows the activity description activity identifier
and a sufficiently detailed scope of work description so project team members understand what work is to be
performed
Activity Network Diagrams See project schedule network diagram
ActivityonNode (AON) See precedence diagramming method (PDM)
Activity Resource Requirements The types and quantities of resources required for each activity in a work
package
Actual Cost (AC) The realized cost incurred for the work performed on an activity during a specific time period
Actual Duration The time in calendar units between the actual start date of the schedule activity and either the
data date of the project schedule if the schedule activity is in progress or the actual finish date if the schedule
activity is complete
Adaptive Life Cycle A project life cycle also known as changedriven or agile methods that is intended to
facilitate change and require a high degree of ongoing stakeholder involvement Adaptive life cycles are also
iterative and incremental but differ in that iterations are very rapid (usually 2–4 weeks in length) and are fixed in
time and resources
Additional Quality Planning Tools A set of tools used to define the quality requirements and to plan effective
quality management activities They include but are not limited to brainstorming force field analysis nominal
group techniques and quality management and control tools
Adjusting Leads and Lags A technique used to find ways to bring project activities that are behind into alignment
with plan during project execution
Advertising The process of calling public attention to a project or effort528 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Affinity Diagram A group creativity technique that allows large numbers of ideas to be classified into groups for
review and analysis
Agreements Any document or communication that defines the initial intentions of a project This can take the
form of a contract memorandum of understanding (MOU) letters of agreement verbal agreements email etc
Alternative Analysis A technique used to evaluate identified options in order to select which options or
approaches to use to execute and perform the work of the project
Alternatives Generation A technique used to develop as many potential options as possible in order to identify
different approaches to execute and perform the work of the project
Analogous Estimating A technique for estimating the duration or cost of an activity or a project using historical
data from a similar activity or project
Analytical Techniques Various techniques used to evaluate analyze or forecast potential outcomes based on
possible variations of project or environmental variables and their relationships with other variables
Application Area A category of projects that have common components significant in such projects
but are not needed or present in all projects Application areas are usually defined in terms of either the
product (ie by similar technologies or production methods) or the type of customer (ie internal versus
external government versus commercial) or industry sector (ie utilities automotive aerospace information
technologies etc) Application areas can overlap
Applying Leads and Lags A technique that is used to adjust the amount of time between predecessor and
successor activities
Apportioned Effort An activity where effort is allotted proportionately across certain discrete efforts and not
divisible into discrete efforts [Note Apportioned effort is one of three earned value management (EVM) types of
activities used to measure work performance]
Approved Change Request A change request that has been processed through the integrated change control
process and approved
Approved Change Requests Review A review of the change requests to verify that these were implemented as
approved529©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Assumption A factor in the planning process that is considered to be true real or certain without proof or
demonstration
Assumptions Analysis A technique that explores the accuracy of assumptions and identifies risks to the project
from inaccuracy inconsistency or incompleteness of assumptions
Attribute Sampling Method of measuring quality that consists of noting the presence (or absence) of some
characteristic (attribute) in each of the units under consideration After each unit is inspected the decision is made
to accept a lot reject it or inspect another unit
Authority The right to apply project resources expend funds make decisions or give approvals
Backlog A listing of product requirements and deliverables to be completed written as stories and prioritized
by the business to manage and organize the project’s work
Backward Pass A critical path method technique for calculating the late start and late finish dates by working
backward through the schedule model from the project end date
Bar Chart A graphic display of schedulerelated information In the typical bar chart schedule activities or work
breakdown structure components are listed down the left side of the chart dates are shown across the top and
activity durations are shown as dateplaced horizontal bars See also Gantt chart
Baseline The approved version of a work product that can be changed only through formal change control
procedures and is used as a basis for comparison
Basis of Estimates Supporting documentation outlining the details used in establishing project estimates such as
assumptions constraints level of detail ranges and confidence levels
Benchmarking Benchmarking is the comparison of actual or planned practices such as processes and operations
to those of comparable organizations to identify best practices generate ideas for improvement and provide a
basis for measuring performance
Bidder Conference The meetings with prospective sellers prior to the preparation of a bid or proposal to ensure
all prospective vendors have a clear and common understanding of the procurement Also known as contractor
conferences vendor conferences or prebid conferences530 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
BottomUp Estimating A method of estimating project duration or cost by aggregating the estimates of the
lowerlevel components of the work breakdown structure (WBS)
Brainstorming A general data gathering and creativity technique that can be used to identify risks ideas or
solutions to issues by using a group of team members or subject matter experts
Budget The approved estimate for the project or any work breakdown structure component or any schedule
activity
Budget at Completion (BAC) The sum of all budgets established for the work to be performed
Buffer See reserve
Business Case A documented economic feasibility study used to establish validity of the benefits of a selected
component lacking sufficient definition and that is used as a basis for the authorization of further project management
activities
Business Value A concept that is unique to each organization and includes tangible and intangible elements
Through the effective use of project program and portfolio management disciplines organizations will possess the
ability to employ reliable established processes to meet enterprise objectives and obtain greater business value
from their investments
Buyer The acquirer of products services or results for an organization
Cause and Effect Diagram A decomposition technique that helps trace an undesirable effect back to its root
cause
Central Tendency A property of the central limit theorem predicting that the data observations in a distribution
will tend to group around a central location The three typical measures of central tendency are the mean median
and mode
Change Control A process whereby modifications to documents deliverables or baselines associated with the
project are identified documented approved or rejected
Change Control Board (CCB) A formally chartered group responsible for reviewing evaluating approving
delaying or rejecting changes to the project and for recording and communicating such decisions531©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Change Control System A set of procedures that describes how modifications to the project deliverables and
documentation are managed and controlled
Change Control Tools Manual or automated tools to assist with change andor configuration management At a
minimum the tools should support the activities of the CCB
Change Log A comprehensive list of changes made during the project This typically includes dates of the change
and impacts in terms of time cost and risk
Change Request A formal proposal to modify any document deliverable or baseline
Charter See project charter
Checklist Analysis A technique for systematically reviewing materials using a list for accuracy and completeness
Checksheets A tally sheet that can be used as a checklist when gathering data
Claim A request demand or assertion of rights by a seller against a buyer or vice versa for consideration
compensation or payment under the terms of a legally binding contract such as for a disputed change
Claims Administration The process of processing adjudicating and communicating contract claims
Close Procurements The process of completing each project procurement
Close Project or Phase The process of finalizing all activities across all of the Project Management Process
Groups to formally complete a project or phase
Closed Procurements Project contracts or other procurement agreements that have been formally acknowledged
by the proper authorizing agent as being finalized and signed off
Closing Process Group Those processes performed to finalize all activities across all Process Groups to formally
close a project or phase
Code of Accounts A numbering system used to uniquely identify each component of the work breakdown
structure (WBS)
Collect Requirements The process of determining documenting and managing stakeholder needs and
requirements to meet project objectives532 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Colocation An organizational placement strategy where the project team members are physically located
close to one another in order to improve communication working relationships and productivity
Communication Constraints Restrictions on the content timing audience or individual who will deliver a
communication usually stemming from specific legislation or regulation technology or organizational policies
Communication Methods A systematic procedure technique or process used to transfer information among
project stakeholders
Communication Models A description analogy or schematic used to represent how the communication
process will be performed for the project
Communication Requirements Analysis An analytical technique to determine the information needs of the
project stakeholders through interviews workshops study of lessons learned from previous projects etc
Communication Technology Specific tools systems computer programs etc used to transfer information
among project stakeholders
Communications Management Plan A component of the project program or portfolio management plan that
describes how when and by whom information about the project will be administered and disseminated
Compliance A general concept of conforming to a rule standard law or requirement such that the assessment of
compliance results in a binomial result stated as compliant or noncompliant
Conduct Procurements The process of obtaining seller responses selecting a seller and awarding a contract
Configuration Management System A subsystem of the overall project management system It is a collection
of formal documented procedures used to apply technical and administrative direction and surveillance to
identify and document the functional and physical characteristics of a product result service or component
control any changes to such characteristics record and report each change and its implementation status and
support the audit of the products results or components to verify conformance to requirements It includes the
documentation tracking systems and defined approval levels necessary for authorizing and controlling changes
Conflict Management Handling controlling and guiding a conflictual situation to achieve a resolution
Conformance Within the quality management system conformance is a general concept of delivering results that
fall within the limits that define acceptable variation for a quality requirement533©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Conformance Work In the cost of quality framework conformance work is done to compensate for imperfections
that prevent organizations from completing planned activities correctly as essential firsttime work Conformance
work consists of actions that are related to prevention and inspection
Constraint A limiting factor that affects the execution of a project program portfolio or process
Context Diagrams A visual depiction of the product scope showing a business system (process equipment
computer system etc) and how people and other systems (actors) interact with it
Contingency An event or occurrence that could affect the execution of the project that may be accounted for
with a reserve
Contingency Allowance See reserve
Contingency Reserve Budget within the cost baseline or performance measurement baseline that is allocated for
identified risks that are accepted and for which contingent or mitigating responses are developed
Contingent Response Strategies Responses provided which may be used in the event that a specific trigger
occurs
Contract A contract is a mutually binding agreement that obligates the seller to provide the specified product
or service or result and obligates the buyer to pay for it
Contract Change Control System The system used to collect track adjudicate and communicate changes to a
contract
Control Comparing actual performance with planned performance analyzing variances assessing trends to
effect process improvements evaluating possible alternatives and recommending appropriate corrective action
as needed
Control Account A management control point where scope budget actual cost and schedule are integrated and
compared to earned value for performance measurement
Control Chart A graphic display of process data over time and against established control limits which has a
centerline that assists in detecting a trend of plotted values toward either control limit
Control Communications The process of monitoring and controlling communications throughout the entire project
life cycle to ensure the information needs of the project stakeholders are met534 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Control Costs The process of monitoring the status of the project to update the project costs and managing
changes to the cost baseline
Control Limits The area composed of three standard deviations on either side of the centerline or mean of a
normal distribution of data plotted on a control chart which reflects the expected variation in the data See also
specification limits
Control Procurements The process of managing procurement relationships monitoring contract performance
and making changes and corrections as appropriate
Control Quality The process of monitoring and recording results of executing the quality activities to assess
performance and recommend necessary changes
Control Risks The process of implementing risk response plans tracking identified risks monitoring residual
risks identifying new risks and evaluating risk process effectiveness throughout the project
Control Schedule The process of monitoring the status of project activities to update project progress and manage
changes to the schedule baseline to achieve the plan
Control Scope The process of monitoring the status of the project and product scope and managing changes to
the scope baseline
Control Stakeholder Engagement The process of monitoring overall project stakeholder relationships and
adjusting strategies and plans for engaging stakeholders
Corrective Action An intentional activity that realigns the performance of the project work with the project
management plan
Cost Aggregation Summing the lowerlevel cost estimates associated with the various work packages for a
given level within the project’s WBS or for a given cost control account
Cost Baseline The approved version of the timephased project budget excluding any management reserves
which can be changed only through formal change control procedures and is used as a basis for comparison to
actual results
Cost Management Plan A component of a project or program management plan that describes how costs will
be planned structured and controlled535©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Cost of Quality A method of determining the costs incurred to ensure quality Prevention and appraisal costs
(cost of conformance) include costs for quality planning quality control (QC) and quality assurance to ensure
compliance to requirements (ie training QC systems etc) Failure costs (cost of nonconformance) include costs
to rework products components or processes that are noncompliant costs of warranty work and waste and loss
of reputation
Cost Performance Index (CPI) A measure of the cost efficiency of budgeted resources expressed as the ratio of
earned value to actual cost
Cost Plus Award Fee Contracts (CPAF) A category of contract that involves payments to the seller for all legitimate
actual costs incurred for completed work plus an award fee representing seller profit
Cost Plus Fixed Fee Contract (CPFF) A type of costreimbursable contract where the buyer reimburses the seller
for the seller’s allowable costs (allowable costs are defined by the contract) plus a fixed amount of profit (fee)
Cost Plus Incentive Fee Contract (CPIF) A type of costreimbursable contract where the buyer reimburses the
seller for the seller’s allowable costs (allowable costs are defined by the contract) and the seller earns its profit if
it meets defined performance criteria
Cost Variance (CV) The amount of budget deficit or surplus at a given point in time expressed as the difference
between the earned value and the actual cost
CostBenefit Analysis A financial analysis tool used to determine the benefits provided by a project against its
costs
CostReimbursable Contract A type of contract involving payment to the seller for the seller’s actual costs plus
a fee typically representing seller’s profit Costreimbursable contracts often include incentive clauses where if the
seller meets or exceeds selected project objectives such as schedule targets or total cost then the seller receives
from the buyer an incentive or bonus payment
Crashing A technique used to shorten the schedule duration for the least incremental cost by adding
resources
Create WBS The process of subdividing project deliverables and project work into smaller more manageable
components536 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Criteria Standards rules or tests on which a judgment or decision can be based or by which a product service
result or process can be evaluated
Critical Chain Method A schedule method that allows the project team to place buffers on any project schedule
path to account for limited resources and project uncertainties
Critical Path The sequence of activities that represents the longest path through a project which determines the
shortest possible duration
Critical Path Activity Any activity on the critical path in a project schedule
Critical Path Method A method used to estimate the minimum project duration and determine the amount of
scheduling flexibility on the logical network paths within the schedule model
Customer Customer is the person(s) or organization(s) that will pay for the project’s product service or result
Customers can be internal or external to the performing organization
Customer Satisfaction Within the quality management system a state of fulfillment in which the needs of a
customer are met or exceeded for the customer’s expected experiences as assessed by the customer at the
moment of evaluation
Data Date A point in time when the status of the project is recorded
Data Gathering and Representation Techniques Techniques used to collect organize and present data and
information
Decision Tree Analysis A diagramming and calculation technique for evaluating the implications of a chain of
multiple options in the presence of uncertainty
Decomposition A technique used for dividing and subdividing the project scope and project deliverables into
smaller more manageable parts
Defect An imperfection or deficiency in a project component where that component does not meet its
requirements or specifications and needs to be either repaired or replaced
Defect Repair An intentional activity to modify a nonconforming product or product component
Define Activities The process of identifying and documenting the specific actions to be performed to produce the
project deliverables537©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Define Scope The process of developing a detailed description of the project and product
Deliverable Any unique and verifiable product result or capability to perform a service that is required to be
produced to complete a process phase or project
Delphi Technique An information gathering technique used as a way to reach a consensus of experts on a
subject Experts on the subject participate in this technique anonymously A facilitator uses a questionnaire to
solicit ideas about the important project points related to the subject The responses are summarized and are
then recirculated to the experts for further comment Consensus may be reached in a few rounds of this process
The Delphi technique helps reduce bias in the data and keeps any one person from having undue influence on
the outcome
Dependency See logical relationship
Dependency Determination A technique used to identify the type of dependency that is used to create the logical
relationships between predecessor and successor activities
Design of Experiments A statistical method for identifying which factors may influence specific variables of a
product or process under development or in production
Determine Budget The process of aggregating the estimated costs of individual activities or work packages to
establish an authorized cost baseline
Develop Project Charter The process of developing a document that formally authorizes the existence of a project
and provides the project manager with the authority to apply organizational resources to project activities
Develop Project Management Plan The process of defining preparing and coordinating all subsidiary plans and
integrating them into a comprehensive project management plan
Develop Project Team The process of improving competencies team member interaction and overall team
environment to enhance project performance
Develop Schedule The process of analyzing activity sequences durations resource requirements and schedule
constraints to create the project schedule model
Diagramming Techniques Approaches to presenting information with logical linkages that aid in understanding
Dictatorship A group decisionmaking technique in which one individual makes the decision for the group538 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Direct and Manage Project Work The process of leading and performing the work defined in the project
management plan and implementing approved changes to achieve the project’s objectives
Discrete Effort An activity that can be planned and measured and that yields a specific output [Note Discrete
effort is one of three earned value management (EVM) types of activities used to measure work performance]
Discretionary Dependency A relationship that is established based on knowledge of best practices within a
particular application area or an aspect of the project where a specific sequence is desired
Document Analysis An elicitation technique that analyzes existing documentation and identifies information
relevant to the requirements
Documentation Reviews The process of gathering a corpus of information and reviewing it to determine accuracy
and completeness
Duration (DU or DUR) The total number of work periods (not including holidays or other nonworking periods)
required to complete a schedule activity or work breakdown structure component Usually expressed as workdays
or workweeks Sometimes incorrectly equated with elapsed time Contrast with effort
Early Finish Date (EF) In the critical path method the earliest possible point in time when the uncompleted
portions of a schedule activity can finish based on the schedule network logic the data date and any schedule
constraints
Early Start Date (ES) In the critical path method the earliest possible point in time when the uncompleted
portions of a schedule activity can start based on the schedule network logic the data date and any schedule
constraints
Earned Value (EV) The measure of work performed expressed in terms of the budget authorized for that work
Earned Value Management A methodology that combines scope schedule and resource measurements to
assess project performance and progress
Effort The number of labor units required to complete a schedule activity or work breakdown structure component
often expressed in hours days or weeks
Emotional Intelligence The capability to identify assess and manage the personal emotions of oneself and other
people as well as the collective emotions of groups of people539©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Enterprise Environmental Factors Conditions not under the immediate control of the team that influence
constrain or direct the project program or portfolio
Estimate A quantitative assessment of the likely amount or outcome Usually applied to project costs resources
effort and durations and is usually preceded by a modifier (ie preliminary conceptual feasibility orderof
magnitude definitive) It should always include some indication of accuracy (eg ± x percent) See also budget
and cost
Estimate Activity Durations The process of estimating the number of work periods needed to complete individual
activities with estimated resources
Estimate Activity Resources The process of estimating the type and quantities of material human resources
equipment or supplies required to perform each activity
Estimate at Completion (EAC) The expected total cost of completing all work expressed as the sum of the actual
cost to date and the estimate to complete
Estimate Costs The process of developing an approximation of the monetary resources needed to complete
project activities
Estimate to Complete (ETC) The expected cost to finish all the remaining project work
Execute Directing managing performing and accomplishing the project work providing the deliverables and
providing work performance information
Executing Process Group Those processes performed to complete the work defined in the project management
plan to satisfy the project specifications
Expected Monetary Value (EMV) Analysis A statistical technique that calculates the average outcome when
the future includes scenarios that may or may not happen A common use of this technique is within decision tree
analysis
Expert Judgment Judgment provided based upon expertise in an application area knowledge area discipline
industry etc as appropriate for the activity being performed Such expertise may be provided by any group or
person with specialized education knowledge skill experience or training540 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
External Dependency A relationship between project activities and nonproject activities
Facilitated Workshops An elicitation technique using focused sessions that bring key crossfunctional
stakeholders together to define product requirements
Failure Mode and Effect Analysis (FMEA) An analytical procedure in which each potential failure mode in
every component of a product is analyzed to determine its effect on the reliability of that component and by
itself or in combination with other possible failure modes on the reliability of the product or system and on the
required function of the component or the examination of a product (at the system andor lower levels) for all
ways that a failure may occur For each potential failure an estimate is made of its effect on the total system
and of its impact In addition a review is undertaken of the action planned to minimize the probability of failure
and to minimize its effects
Fallback Plan Fallback plans include an alternative set of actions and tasks available in the event that the primary
plan needs to be abandoned because of issues risks or other causes
Fast Tracking A schedule compression technique in which activities or phases normally done in sequence are
performed in parallel for at least a portion of their duration
Fee Represents profit as a component of compensation to a seller
Finish Date A point in time associated with a schedule activity’s completion Usually qualified by one of the
following actual planned estimated scheduled early late baseline target or current
FinishtoFinish (FF) A logical relationship in which a successor activity cannot finish until a predecessor
activity has finished
FinishtoStart (FS) A logical relationship in which a successor activity cannot start until a predecessor
activity has finished
FirmFixedPrice Contract (FFP) A type of fixed price contract where the buyer pays the seller a set amount
(as defined by the contract) regardless of the seller’s costs
Fishbone diagram See Cause and Effect Diagram
Fixed Formula Method An earned value method for assigning a specified percentage of budget value for a
work package to the start milestone of the work package with the remaining budget value percentage assigned
when the work package is complete541©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Fixed Price Incentive Fee Contract (FPIF) A type of contract where the buyer pays the seller a set amount (as
defined by the contract) and the seller can earn an additional amount if the seller meets defined performance
criteria
Fixed Price with Economic Price Adjustment Contracts (FPEPA) A fixedprice contract but with a special
provision allowing for predefined final adjustments to the contract price due to changed conditions such as inflation
changes or cost increases (or decreases) for specific commodities
FixedPrice Contracts An agreement that sets the fee that will be paid for a defined scope of work regardless of
the cost or effort to deliver it
Float Also called slack See total float and free float
Flowchart The depiction in a diagram format of the inputs process actions and outputs of one or more processes
within a system
Focus Groups An elicitation technique that brings together prequalified stakeholders and subject matter experts
to learn about their expectations and attitudes about a proposed product service or result
Forecast An estimate or prediction of conditions and events in the project’s future based on information and
knowledge available at the time of the forecast The information is based on the project’s past performance and
expected future performance and includes information that could impact the project in the future such as estimate
at completion and estimate to complete
Forward Pass A critical path method technique for calculating the early start and early finish dates by working
forward through the schedule model from the project start date or a given point in time
Free Float The amount of time that a schedule activity can be delayed without delaying the early start date of any
successor or violating a schedule constraint
Functional Manager Someone with management authority over an organizational unit within a functional
organization The manager of any group that actually makes a product or performs a service Sometimes called a
line manager
Functional Organization A hierarchical organization where each employee has one clear superior and staff are
grouped by areas of specialization and managed by a person with expertise in that area542 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Funding Limit Reconciliation The process of comparing the planned expenditure of project funds against any
limits on the commitment of funds for the project to identify any variances between the funding limits and the
planned expenditures
Gantt Chart A bar chart of schedule information where activities are listed on the vertical axis dates are
shown on the horizontal axis and activity durations are shown as horizontal bars placed according to start and
finish dates
Grade A category or rank used to distinguish items that have the same functional use (eg hammer) but do
not share the same requirements for quality (eg different hammers may need to withstand different amounts of
force)
Ground Rules Expectations regarding acceptable behavior by project team members
Group Creativity Techniques Techniques that are used to generate ideas within a group of stakeholders
Group DecisionMaking Techniques Techniques to assess multiple alternatives that will be used to generate
classify and prioritize product requirements
Guideline An official recommendation or advice that indicates policies standards or procedures for how
something should be accomplished
Hammock Activity See summary activity
Hard Logic See mandatory dependency
Histogram A special form of bar chart used to describe the central tendency dispersion and shape of a
statistical distribution
Historical Information Documents and data on prior projects including project files records correspondence
closed contracts and closed projects
Human Resource Management Plan A component of the project management plan that describes how the
roles and responsibilities reporting relationships and staff management will be addressed and structured
IdeaMind Mapping Technique used to consolidate ideas created through individual brainstorming sessions into
a single map to reflect commonality and differences in understanding and to generate new ideas
Identify Risks The process of determining which risks may affect the project and documenting their characteristics543©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Identify Stakeholders The process of identifying the people groups or organizations that could impact or be
impacted by a decision activity or outcome of the project and analyzing and documenting relevant information
regarding their interests involvement interdependencies influence and potential impact on project success
Imposed Date A fixed date imposed on a schedule activity or schedule milestone usually in the form of a
start no earlier than and finish no later than date
Incentive Fee A set of financial incentives related to cost schedule or technical performance of the seller
Incremental Life Cycle A project life cycle where the project scope is generally determined early in the project
life cycle but time and cost estimates are routinely modified as the project team’s understanding of the product
increases Iterations develop the product through a series of repeated cycles while increments successively add to
the functionality of the product
Independent Estimates A process of using a third party to obtain and analyze information to support prediction
of cost schedule or other items
Influence Diagram A graphical representation of situations showing causal influences time ordering of events
and other relationships among variables and outcomes
Information Gathering Techniques Repeatable processes used to assemble and organize data across a spectrum
of sources
Information Management Systems Facilities processes and procedures used to collect store and distribute
information between producers and consumers of information in physical or electronic format
Initiating Process Group Those processes performed to define a new project or a new phase of an existing project
by obtaining authorization to start the project or phase
Input Any item whether internal or external to the project that is required by a process before that process
proceeds May be an output from a predecessor process
Inspection Examining or measuring to verify whether an activity component product result or service conforms
to specified requirements
Inspections and Audits A process to observe performance of contracted work or a promised product against
agreedupon requirements544 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Interpersonal Skills Ability to establish and maintain relationships with other people
Interrelationship Digraphs A quality management planning tool the interrelationship digraphs provide a
process for creative problemsolving in moderately complex scenarios that possess intertwined logical
relationships
Interviews A formal or informal approach to elicit information from stakeholders by talking to them directly
Invitation for Bid (IFB) Generally this term is equivalent to request for proposal However in some application
areas it may have a narrower or more specific meaning
Issue A point or matter in question or in dispute or a point or matter that is not settled and is under discussion or
over which there are opposing views or disagreements
Issue Log A project document used to document and monitor elements under discussion or in dispute between
project stakeholders
Iterative Life Cycle A project life cycle where the project scope is generally determined early in the project life
cycle but time and cost estimates are routinely modified as the project team’s understanding of the product
increases Iterations develop the product through a series of repeated cycles while increments successively add to
the functionality of the product
Lag The amount of time whereby a successor activity is required to be delayed with respect to a predecessor
activity
Late Finish Date (LF) In the critical path method the latest possible point in time when the uncompleted portions
of a schedule activity can finish based on the schedule network logic the project completion date and any schedule
constraints
Late Start Date (LS) In the critical path method the latest possible point in time when the uncompleted portions
of a schedule activity can start based on the schedule network logic the project completion date and any schedule
constraints
Lead The amount of time whereby a successor activity can be advanced with respect to a predecessor activity
Lessons Learned The knowledge gained during a project which shows how project events were addressed or
should be addressed in the future with the purpose of improving future performance
Lessons Learned Knowledge Base A store of historical information and lessons learned about both the outcomes
of previous project selection decisions and previous project performance545©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Level of Effort (LOE) An activity that does not produce definitive end products and is measured by the passage
of time [Note Level of effort is one of three earned valued management (EVM) types of activities used to measure
work performance]
Leveling See resource leveling
Life Cycle See project life cycle
Log A document used to record and describe or denote selected items identified during execution of a process or
activity Usually used with a modifier such as issue quality control action or defect
Logical Relationship A dependency between two activities or between an activity and a milestone
Majority Support from more than 50 percent of the members of the group
MakeorBuy Analysis The process of gathering and organizing data about product requirements and analyzing
them against available alternatives including the purchase or internal manufacture of the product
MakeorBuy Decisions Decisions made regarding the external purchase or internal manufacture of a product
Manage Communications The process of creating collecting distributing storing retrieving and the ultimate
disposition of project information in accordance with the communications management plan
Manage Project Team The process of tracking team member performance providing feedback resolving issues
and managing team changes to optimize project performance
Manage Stakeholder Engagement The process of communicating and working with stakeholders to meet their
needsexpectations address issues as they occur and foster appropriate stakeholder engagement in project
activities throughout the project life cycle
Management Reserve An amount of the project budget withheld for management control purposes These
are budgets reserved for unforeseen work that is within scope of the project The management reserve is not
included in the performance measurement baseline (PMB)
Management Skills The ability to plan organize direct and control individuals or groups of people to achieve
specific goals
Mandatory Dependency A relationship that is contractually required or inherent in the nature of the work546 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Market Research The process of gathering information at conferences online reviews and a variety of sources
to identify market capabilities
Master Schedule A summarylevel project schedule that identifies the major deliverables and work breakdown
structure components and key schedule milestones See also milestone schedule
Material The aggregate of things used by an organization in any undertaking such as equipment apparatus tools
machinery gear material and supplies
Matrix Diagrams A quality management and control tool used to perform data analysis within the organizational
structure created in the matrix The matrix diagram seeks to show the strength of relationships between factors
causes and objectives that exist between the rows and columns that form the matrix
Matrix Organization Any organizational structure in which the project manager shares responsibility with the
functional managers for assigning priorities and for directing the work of persons assigned to the project
Methodology A system of practices techniques procedures and rules used by those who work in a discipline
Milestone A significant point or event in a project program or portfolio
Milestone List A list identifying all project milestones and normally indicates whether the milestone is mandatory
or optional
Milestone Schedule A summarylevel schedule that identifies the major schedule milestones See also master
schedule
Monitor Collect project performance data with respect to a plan produce performance measures and report and
disseminate performance information
Monitor and Control Project Work The process of tracking reviewing and reporting the progress to meet the
performance objectives defined in the project management plan
Monitoring and Controlling Process Group Those processes required to track review and regulate the progress
and performance of the project identify any areas in which changes to the plan are required and initiate the
corresponding changes547©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Monte Carlo Simulation A process which generates hundreds or thousands of probable performance outcomes
based on probability distributions for cost and schedule on individual tasks The outcomes are then used to generate
a probability distribution for the project as a whole
Most Likely Duration An estimate of the most probable activity duration that takes into account all of the known
variables that could affect performance
MultiCriteria Decision Analysis This technique utilizes a decision matrix to provide a systematic analytical
approach for establishing criteria such as risk levels uncertainty and valuation to evaluate and rank many ideas
NearCritical Activity A schedule activity that has low total float The concept of nearcritical is equally applicable
to a schedule activity or schedule network path The limit below which total float is considered near critical is
subject to expert judgment and varies from project to project
Negotiated Settlements The process of reaching final equitable settlement of all outstanding issues claims and
disputes through negotiation
Negotiation The process and activities to resolving disputes through consultations between involved parties
Network See project schedule network diagram
Network Analysis See schedule network analysis
Network Logic The collection of schedule activity dependencies that makes up a project schedule network
diagram
Network Path Any continuous series of schedule activities connected with logical relationships in a project
schedule network diagram
Networking Establishing connections and relationships with other people from the same or other organizations
Node One of the defining points of a schedule network a junction point joined to some or all of the other dependency
lines
Nominal Group Technique A technique that enhances brainstorming with a voting process used to rank the
most useful ideas for further brainstorming or for prioritization548 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Nonconformance Work In the cost of quality framework nonconformance work is done to deal with the
consequences of errors and failures in doing activities correctly on the first attempt In efficient quality management
systems the amount of nonconformance work will approach zero
Objective Something toward which work is to be directed a strategic position to be attained a purpose to be
achieved a result to be obtained a product to be produced or a service to be performed
Observations A technique that provides a direct way of viewing individuals in their environment performing their
jobs or tasks and carrying out processes
Opportunity A risk that would have a positive effect on one or more project objectives
Optimistic Duration An estimate of the shortest activity duration that takes into account all of the known
variables that could affect performance
Organizational Breakdown Structure (OBS) A hierarchical representation of the project organization that
illustrates the relationship between project activities and the organizational units that will perform those activities
Organizational Process Assets Plans processes policies procedures and knowledge bases that are specific to
and used by the performing organization
Organizational Project Management Maturity The level of an organization’s ability to deliver the desired strategic
outcomes in a predictable controllable and reliable manner
Output A product result or service generated by a process May be an input to a successor process
Parametric Estimating An estimating technique in which an algorithm is used to calculate cost or duration
based on historical data and project parameters
Pareto Diagram A histogram ordered by frequency of occurrence that shows how many results were
generated by each identified cause
Path Convergence A relationship in which a schedule activity has more than one predecessor
Path Divergence A relationship in which a schedule activity has more than one successor
Payment Systems The system used to provide and track supplier’s invoices and payments for services and
products549©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Percent Complete An estimate expressed as a percent of the amount of work that has been completed on an
activity or a work breakdown structure component
Perform Integrated Change Control The process of reviewing all change requests approving changes
and managing changes to deliverables organizational process assets project documents and the project
management plan and communicating their disposition
Perform Qualitative Risk Analysis The process of prioritizing risks for further analysis or action by assessing and
combining their probability of occurrence and impact
Perform Quality Assurance The process of auditing the quality requirements and the results from quality control
measurements to ensure that appropriate quality standards and operational definitions are used
Perform Quantitative Risk Analysis The process of numerically analyzing the effect of identified risks on overall
project objectives
Performance Measurement Baseline An approved integrated scopeschedulecost plan for the project work
against which project execution is compared to measure and manage performance The PMB includes contingency
reserve but excludes management reserve
Performance Reporting See work performance reports
Performance Reports See work performance reports
Performance Reviews A technique that is used to measure compare and analyze actual performance of
work in progress on the project against the baseline
Performing Organization An enterprise whose personnel are most directly involved in doing the work of the
project or program
Pessimistic Duration Estimate of the longest activity duration that takes into account all of the known variables
that could affect performance
Phase See project phase
Phase Gate A review at the end of a phase in which a decision is made to continue to the next phase to
continue with modification or to end a project or program
Plan Communications Management The process of developing an appropriate approach and plan for project
communications based on stakeholder’s information needs and requirements and available organizational assets550 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Plan Cost Management The process that establishes the policies procedures and documentation for planning
managing expending and controlling project costs
Plan Human Resource Management The process of identifying and documenting project roles responsibilities
required skills reporting relationships and creating a staffing management plan
Plan Procurement Management The process of documenting project procurement decisions specifying the
approach and identifying potential sellers
Plan Quality Management The process of identifying quality requirements andor standards for the project and its
deliverables and documenting how the project will demonstrate compliance with quality requirements
Plan Risk Management The process of defining how to conduct risk management activities for a project
Plan Risk Responses The process of developing options and actions to enhance opportunities and to reduce
threats to project objectives
Plan Schedule Management The process of establishing the policies procedures and documentation for
planning developing managing executing and controlling the project schedule
Plan Scope Management The process of creating a scope management plan that documents how the project
scope will be defined validated and controlled
Plan Stakeholder Management The process of developing appropriate management strategies to effectively
engage stakeholders throughout the project life cycle based on the analysis of their needs interests and potential
impact on project success
Planned Value (PV) The authorized budget assigned to scheduled work
Planning Package A work breakdown structure component below the control account with known work
content but without detailed schedule activities See also control account
Planning Process Group Those processes required to establish the scope of the project refine the objectives and
define the course of action required to attain the objectives that the project was undertaken to achieve
Plurality Decisions made by the largest block in a group even if a majority is not achieved
Policy A structured pattern of actions adopted by an organization such that the organization’s policy can be
explained as a set of basic principles that govern the organization’s conduct551©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Portfolio Projects programs subportfolios and operations managed as a group to achieve strategic objectives
Portfolio Management The centralized management of one or more portfolios to achieve strategic objectives
Practice A specific type of professional or management activity that contributes to the execution of a process
and that may employ one or more techniques and tools
Precedence Diagramming Method (PDM) A technique used for constructing a schedule model in which
activities are represented by nodes and are graphically linked by one or more logical relationships to show the
sequence in which the activities are to be performed
Precedence Relationship The term used in the precedence diagramming method for a logical relationship In current
usage however precedence relationship logical relationship and dependency are widely used interchangeably
regardless of the diagramming method used See also logical relationship
Precision Within the quality management system precision is a measure of exactness
Predecessor Activity An activity that logically comes before a dependent activity in a schedule
Predictive Life Cycle A form of project life cycle in which the project scope and the time and cost required to
deliver that scope are determined as early in the life cycle as possible
Preferential Logic See discretionary dependency
Preferred Logic See discretionary dependency
Preventive Action An intentional activity that ensures the future performance of the project work is aligned
with the project management plan
Prioritization Matrices A quality management planning tool used to identify key issues and evaluate suitable
alternatives to define a set of implementation priorities
Probability and Impact Matrix A grid for mapping the probability of each risk occurrence and its impact on
project objectives if that risk occurs
Procedure An established method of accomplishing a consistent performance or result a procedure typically
can be described as the sequence of steps that will be used to execute a process
Process A systematic series of activities directed towards causing an end result such that one or more inputs
will be acted upon to create one or more outputs552 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Process Analysis A process analysis follows the steps outlined in the process improvement plan to identify
needed improvements
Process Decision Program Charts (PDPC) The PDPC is used to understand a goal in relation to the steps for
getting to the goal
Process Improvement Plan A subsidiary plan of the project management plan It details the steps for analyzing
processes to identify activities that enhance their value
Procurement Audits The review of contracts and contracting processes for completeness accuracy and
effectiveness
Procurement Documents The documents utilized in bid and proposal activities which include the buyer’s
Invitation for Bid Invitation for Negotiations Request for Information Request for Quotation Request for Proposal
and seller’s responses
Procurement Management Plan A component of the project or program management plan that describes
how a project team will acquire goods and services from outside the performing organization
Procurement Performance Reviews A structured review of the seller’s progress to deliver project scope and
quality within cost and on schedule as compared to the contract
Procurement Statement of Work Describes the procurement item in sufficient detail to allow prospective sellers
to determine if they are capable of providing the products services or results
Product An artifact that is produced is quantifiable and can be either an end item in itself or a component item
Additional words for products are material and goods Contrast with result See also deliverable
Product Analysis For projects that have a product as a deliverable it is a tool to define scope that generally means
asking questions about a product and forming answers to describe the use characteristics and other the relevant
aspects of what is going to be manufactured
Product Life Cycle The series of phases that represent the evolution of a product from concept through delivery
growth maturity and to retirement
Product Scope The features and functions that characterize a product service or result
Product Scope Description The documented narrative description of the product scope553©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Program A group of related projects subprograms and program activities managed in a coordinated way to
obtain benefits not available from managing them individually
Program Evaluation and Review Technique (PERT) A technique for estimating that applies a weighted
average of optimistic pessimistic and most likely estimates when there is uncertainty with the individual activity
estimates
Program Management The application of knowledge skills tools and techniques to a program to meet the
program requirements and to obtain benefits and control not available by managing projects individually
Progressive Elaboration The iterative process of increasing the level of detail in a project management plan as
greater amounts of information and more accurate estimates become available
Project A temporary endeavor undertaken to create a unique product service or result
ProjectBased Organizations (PBOs) A variety of organizational forms that involve the creation of temporary
systems for the performance of projects PBOs conduct the majority of their activities as projects andor provide
project over functional approaches
Project Calendar A calendar that identifies working days and shifts that are available for scheduled activities
Project Charter A document issued by the project initiator or sponsor that formally authorizes the existence
of a project and provides the project manager with the authority to apply organizational resources to project
activities
Project Communications Management Project Communications Management includes the processes that
are required to ensure timely and appropriate planning collection creation distribution storage retrieval
management control monitoring and the ultimate disposition of project information
Project Cost Management Project Cost Management includes the processes involved in planning estimating
budgeting financing funding managing and controlling costs so that the project can be completed within the
approved budget
Project Funding Requirements Forecast project costs to be paid that are derived from the cost baseline for total
or periodic requirements including projected expenditures plus anticipated liabilities
Project Governance The alignment of project objectives with the strategy of the larger organization by the
project sponsor and project team A project’s governance is defined by and is required to fit within the larger
context of the program or organization sponsoring it but is separate from organizational governance554 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Project Human Resource Management Project Human Resource Management includes the processes that
organize manage and lead the project team
Project Initiation Launching a process that can result in the authorization of a new project
Project Integration Management Project Integration Management includes the processes and activities needed
to identify define combine unify and coordinate the various processes and project management activities within
the Project Management Process Groups
Project Life Cycle The series of phases that a project passes through from its initiation to its closure
Project Management The application of knowledge skills tools and techniques to project activities to meet the
project requirements
Project Management Body of Knowledge An inclusive term that describes the sum of knowledge within
the profession of project management As with other professions such as law medicine and accounting the
body of knowledge rests with the practitioners and academics that apply and advance it The complete project
management body of knowledge includes proven traditional practices that are widely applied and innovative
practices that are emerging in the profession The body of knowledge includes both published and unpublished
materials This body of knowledge is constantly evolving PMI’s PMBOK® Guide identifies a subset of the project
management body of knowledge that is generally recognized as good practice
Project Management Information System An information system consisting of the tools and techniques used to
gather integrate and disseminate the outputs of project management processes It is used to support all aspects
of the project from initiating through closing and can include both manual and automated systems
Project Management Knowledge Area An identified area of project management defined by its knowledge
requirements and described in terms of its component processes practices inputs outputs tools and techniques
Project Management Office (PMO) An organizational structure that standardizes the projectrelated governance
processes and facilitates the sharing of resources methodologies tools and techniques
Project Management Plan The document that describes how the project will be executed monitored and
controlled
Project Management Process Group A logical grouping of project management inputs tools and techniques
and outputs The Project Management Process Groups include initiating processes planning processes executing
processes monitoring and controlling processes and closing processes Project Management Process Groups are
not project phases555©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Project Management Staff The members of the project team who perform project management activities such as
schedule communications risk management etc
Project Management System The aggregation of the processes tools techniques methodologies resources and
procedures to manage a project
Project Management Team The members of the project team who are directly involved in project management
activities On some smaller projects the project management team may include virtually all of the project team
members
Project Manager (PM) The person assigned by the performing organization to lead the team that is responsible
for achieving the project objectives
Project Organization Chart A document that graphically depicts the project team members and their
interrelationships for a specific project
Project Phase A collection of logically related project activities that culminates in the completion of one or
more deliverables
Project Procurement Management Project Procurement Management includes the processes necessary to
purchase or acquire products services or results needed from outside the project team
Project Quality Management Project Quality Management includes the processes and activities of the performing
organization that determine quality policies objectives and responsibilities so that the project will satisfy the needs
for which it was undertaken
Project Risk Management Project Risk Management includes the processes of conducting risk management
planning identification analysis response planning and controlling risk on a project
Project Schedule An output of a schedule model that presents linked activities with planned dates durations
milestones and resources
Project Schedule Network Diagram A graphical representation of the logical relationships among the project
schedule activities
Project Scope The work performed to deliver a product service or result with the specified features and functions
Project Scope Management Project Scope Management includes the processes required to ensure that the
project includes all the work required and only the work required to complete the project successfully556 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Project Scope Statement The description of the project scope major deliverables assumptions and constraints
Project Stakeholder Management Project Stakeholder Management includes the processes required to identify
all people or organizations impacted by the project analyzing stakeholder expectations and impact on the project
and developing appropriate management strategies for effectively engaging stakeholders in project decisions and
execution
Project Statement of Work See statement of work
Project Team A set of individuals who support the project manager in performing the work of the project to
achieve its objectives
Project Team Directory A documented list of project team members their project roles and communication
information
Project Time Management Project Time Management includes the processes required to manage the timely
completion of the project
Projectized Organization Any organizational structure in which the project manager has full authority to assign
priorities apply resources and direct the work of persons assigned to the project
Proposal Evaluation Techniques The process of reviewing proposals provided by suppliers to support contract
award decisions
Prototypes A method of obtaining early feedback on requirements by providing a working model of the expected
product before actually building it
Quality The degree to which a set of inherent characteristics fulfills requirements
Quality Audits A quality audit is a structured independent process to determine if project activities comply
with organizational and project policies processes and procedures
Quality Checklists A structured tool used to verify that a set of required steps has been performed
Quality Control Measurements The documented results of control quality activities
Quality Function Deployment (QFD) A facilitated workshop technique that helps to determine critical
characteristics for new product development
Quality Management and Control Tools They are a type of quality planning tools used to link and sequence the
activities identified557©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Quality Management Plan A component of the project or program management plan that describes how an
organization’s quality policies will be implemented
Quality Management System The organizational framework whose structure provides the policies processes
procedures and resources required to implement the quality management plan The typical project quality
management plan should be compatible to the organization’s quality management system
Quality Metrics A description of a project or product attribute and how to measure it
Quality Policy A policy specific to the Project Quality Management Knowledge Area it establishes the basic
principles that should govern the organization’s actions as it implements its system for quality management
Quality Requirement A condition or capability that will be used to assess conformance by validating the
acceptability of an attribute for the quality of a result
Quantitative Risk Analysis and Modeling Techniques Commonly used techniques for both eventoriented and
projectoriented analysis approaches
Questionnaires and Surveys Written sets of questions designed to quickly accumulate information from a large
number of respondents
RACI A common type of responsibility assignment matrix that uses responsible accountable consult and inform
statuses to define the involvement of stakeholders in project activities
Records Management System A specific set of processes related control functions and tools that are
consolidated and combined to record and retain information about the project
Regression Analysis An analytic technique where a series of input variables are examined in relation to their
corresponding output results in order to develop a mathematical or statistical relationship
Regulation Requirements imposed by a governmental body These requirements can establish product process or
service characteristics including applicable administrative provisions that have governmentmandated compliance
Reporting Systems Facilities processes and procedures used to generate or consolidate reports from one or
more information management systems and facilitate report distribution to the project stakeholders
Request for Information (RFI) A type of procurement document whereby the buyer requests a potential seller
to provide various pieces of information related to a product or service or seller capability558 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Request for Proposal (RFP) A type of procurement document used to request proposals from prospective
sellers of products or services In some application areas it may have a narrower or more specific meaning
Request for Quotation (RFQ) A type of procurement document used to request price quotations from
prospective sellers of common or standard products or services Sometimes used in place of request for
proposal and in some application areas it may have a narrower or more specific meaning
Requested Change A formally documented change request that is submitted for approval to the integrated
change control process
Requirement A condition or capability that is required to be present in a product service or result to satisfy a
contract or other formally imposed specification
Requirements Documentation A description of how individual requirements meet the business need for the
project
Requirements Management Plan A component of the project or program management plan that describes how
requirements will be analyzed documented and managed
Requirements Traceability Matrix A grid that links product requirements from their origin to the deliverables
that satisfy them
Reserve A provision in the project management plan to mitigate cost andor schedule risk Often used with a
modifier (eg management reserve contingency reserve) to provide further detail on what types of risk are meant
to be mitigated
Reserve Analysis An analytical technique to determine the essential features and relationships of components in
the project management plan to establish a reserve for the schedule duration budget estimated cost or funds for
a project
Residual Risk A risk that remains after risk responses have been implemented
Resource Skilled human resources (specific disciplines either individually or in crews or teams) equipment
services supplies commodities material budgets or funds
Resource Breakdown Structure A hierarchical representation of resources by category and type
Resource Calendar A calendar that identifies the working days and shifts on which each specific resource is
available559©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Resource Histogram A bar chart showing the amount of time that a resource is scheduled to work over a series of
time periods Resource availability may be depicted as a line for comparison purposes Contrasting bars may show
actual amounts of resources used as the project progresses
Resource Leveling A technique in which start and finish dates are adjusted based on resource constraints with
the goal of balancing demand for resources with the available supply
Resource Optimization Techniques A technique that is used to adjust the start and finish dates of activities that
adjust planned resource use to be equal to or less than resource availability
Resource Smoothing A technique which adjusts the activities of a schedule model such that the requirement for
resources on the project do not exceed certain predefined resource limits
Responsibility An assignment that can be delegated within a project management plan such that the assigned
resource incurs a duty to perform the requirements of the assignment
Responsibility Assignment Matrix (RAM) A grid that shows the project resources assigned to each work
package
Result An output from performing project management processes and activities Results include outcomes
(eg integrated systems revised process restructured organization tests trained personnel etc) and documents
(eg policies plans studies procedures specifications reports etc) Contrast with product See also deliverable
Rework Action taken to bring a defective or nonconforming component into compliance with requirements or
specifications
Risk An uncertain event or condition that if it occurs has a positive or negative effect on one or more project
objectives
Risk Acceptance A risk response strategy whereby the project team decides to acknowledge the risk and not
take any action unless the risk occurs
Risk Appetite The degree of uncertainty an entity is willing to take on in anticipation of a reward
Risk Audits Examination and documentation of the effectiveness of risk responses in dealing with identified risks
and their root causes as well as the effectiveness of the risk management process
Risk Avoidance A risk response strategy whereby the project team acts to eliminate the threat or protect the
project from its impact560 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Risk Breakdown Structure (RBS) A hierarchical representation of risks according to their risk categories
Risk Categorization Organization by sources of risk (eg using the RBS) the area of the project affected (eg
using the WBS) or other useful category (eg project phase) to determine the areas of the project most exposed
to the effects of uncertainty
Risk Category A group of potential causes of risk
Risk Data Quality Assessment Technique to evaluate the degree to which the data about risks is useful for risk
management
Risk Management Plan A component of the project program or portfolio management plan that describes how
risk management activities will be structured and performed
Risk Mitigation A risk response strategy whereby the project team acts to reduce the probability of occurrence
or impact of a risk
Risk Reassessment Risk reassessment is the identification of new risks reassessment of current risks and the
closing of risks that are outdated
Risk Register A document in which the results of risk analysis and risk response planning are recorded
Risk Threshold Measure of the level of uncertainty or the level of impact at which a stakeholder may have a
specific interest Below that risk threshold the organization will accept the risk Above that risk threshold the
organization will not tolerate the risk
Risk Tolerance The degree amount or volume of risk that an organization or individual will withstand
Risk Transference A risk response strategy whereby the project team shifts the impact of a threat to a third
party together with ownership of the response
Risk Urgency Assessment Review and determination of the timing of actions that may need to occur sooner than
other risk items
Role A defined function to be performed by a project team member such as testing filing inspecting or coding
Rolling Wave Planning An iterative planning technique in which the work to be accomplished in the near term
is planned in detail while the work in the future is planned at a higher level561©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Root Cause Analysis An analytical technique used to determine the basic underlying reason that causes a
variance or a defect or a risk A root cause may underlie more than one variance or defect or risk
Scatter Diagram A correlation chart that uses a regression line to explain or to predict how the change in an
independent variable will change a dependent variable
Schedule See project schedule and see also schedule model
Schedule Baseline The approved version of a schedule model that can be changed only through formal change
control procedures and is used as a basis for comparison to actual results
Schedule Compression Techniques used to shorten the schedule duration without reducing the project scope
Schedule Data The collection of information for describing and controlling the schedule
Schedule Forecasts Estimates or predictions of conditions and events in the project’s future based on information
and knowledge available at the time the schedule is calculated
Schedule Management Plan A component of the project management plan that establishes the criteria and the
activities for developing monitoring and controlling the schedule
Schedule Model A representation of the plan for executing the project’s activities including durations
dependencies and other planning information used to produce a project schedule along with other scheduling
artifacts
Schedule Network Analysis The technique of identifying early and late start dates as well as early and late finish
dates for the uncompleted portions of project schedule activities See also backward pass critical path method
critical chain method and resource leveling
Schedule Network Templates A set of activities and relationships that have been established that can be used
repeatedly for a particular application area or an aspect of the project where a prescribed sequence is desired
Schedule Performance Index (SPI) A measure of schedule efficiency expressed as the ratio of earned value to
planned value
Schedule Variance (SV) A measure of schedule performance expressed as the difference between the earned
value and the planned value
Scheduling Tool A tool that provides schedule component names definitions structural relationships and
formats that support the application of a scheduling method562 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Scope The sum of the products services and results to be provided as a project See also project scope and
product scope
Scope Baseline The approved version of a scope statement work breakdown structure (WBS) and its associated
WBS dictionary that can be changed only through formal change control procedures and is used as a basis for
comparison
Scope Change Any change to the project scope A scope change almost always requires an adjustment to the
project cost or schedule
Scope Creep The uncontrolled expansion to product or project scope without adjustments to time cost and
resources
Scope Management Plan A component of the project or program management plan that describes how the
scope will be defined developed monitored controlled and verified
Secondary Risk A risk that arises as a direct result of implementing a risk response
Selected Sellers The sellers which have been selected to provide a contracted set of services or products
Seller A provider or supplier of products services or results to an organization
Seller Proposals Formal responses from sellers to a request for proposal or other procurement document
specifying the price commercial terms of sale and technical specifications or capabilities the seller will do for the
requesting organization that if accepted would bind the seller to perform the resulting agreement
Sensitivity Analysis A quantitative risk analysis and modeling technique used to help determine which risks have
the most potential impact on the project It examines the extent to which the uncertainty of each project element
affects the objective being examined when all other uncertain elements are held at their baseline values The typical
display of results is in the form of a tornado diagram
Sequence Activities The process of identifying and documenting relationships among the project activities
Seven Basic Quality Tools A standard toolkit used by quality management professionals who are responsible for
planning monitoring and controlling the issues related to quality in an organization
Simulation A simulation uses a project model that translates the uncertainties specified at a detailed level into
their potential impact on objectives that are expressed at the level of the total project Project simulations use
computer models and estimates of risk usually expressed as a probability distribution of possible costs or durations
at a detailed work level and are typically performed using Monte Carlo analysis563©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Soft Logic See discretionary dependency
Source Selection Criteria A set of attributes desired by the buyer which a seller is required to meet or exceed to
be selected for a contract
Specification A document that specifies in a complete precise verifiable manner the requirements design
behavior or other characteristics of a system component product result or service and the procedures for
determining whether these provisions have been satisfied Examples are requirement specification design
specification product specification and test specification
Specification Limits The area on either side of the centerline or mean of data plotted on a control chart that
meets the customer’s requirements for a product or service This area may be greater than or less than the area
defined by the control limits See also control limits
Sponsor A person or group who provides resources and support for the project program or portfolio and is
accountable for enabling success
Sponsoring Organization The entity responsible for providing the project’s sponsor and a conduit for project
funding or other project resources
Staffing Management Plan A component of the human resource plan that describes when and how project
team members will be acquired and how long they will be needed
Stakeholder An individual group or organization who may affect be affected by or perceive itself to be
affected by a decision activity or outcome of a project
Stakeholder Analysis A technique of systematically gathering and analyzing quantitative and qualitative
information to determine whose interests should be taken into account throughout the project
Stakeholder Management Plan The stakeholder management plan is a subsidiary plan of the project management
plan that defines the processes procedures tools and techniques to effectively engage stakeholders in project
decisions and execution based on the analysis of their needs interests and potential impact
Stakeholder Register A project document including the identification assessment and classification of project
stakeholders
Standard A document that provides for common and repeated use rules guidelines or characteristics for
activities or their results aimed at the achievement of the optimum degree of order in a given context564 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Start Date A point in time associated with a schedule activity’s start usually qualified by one of the following
actual planned estimated scheduled early late target baseline or current
StarttoFinish (SF) A logical relationship in which a successor activity cannot finish until a predecessor activity
has started
StarttoStart (SS) A logical relationship in which a successor activity cannot start until a predecessor activity has
started
Statement of Work (SOW) A narrative description of products services or results to be delivered by the project
Statistical Sampling Choosing part of a population of interest for inspection
Subnetwork A subdivision (fragment) of a project schedule network diagram usually representing a subproject
or a work package Often used to illustrate or study some potential or proposed schedule condition such as
changes in preferential schedule logic or project scope
Subproject A smaller portion of the overall project created when a project is subdivided into more manageable
components or pieces
Successor Activity A dependent activity that logically comes after another activity in a schedule
Summary Activity A group of related schedule activities aggregated and displayed as a single activity
SWOT Analysis Analysis of strengths weaknesses opportunities and threats of an organization project
or option
Tailor The act of carefully selecting process and related inputs and outputs contained within the PMBOK® Guide
to determine a subset of specific processes that will be included within a project’s overall management approach
Team Members See project team members
Technique A defined systematic procedure employed by a human resource to perform an activity to produce a
product or result or deliver a service and that may employ one or more tools
Templates A partially complete document in a predefined format that provides a defined structure for collecting
organizing and presenting information and data
Threat A risk that would have a negative effect on one or more project objectives565©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
ThreePoint Estimate A technique used to estimate cost or duration by applying an average of optimistic
pessimistic and most likely estimates when there is uncertainty with the individual activity estimates
Threshold A cost time quality technical or resource value used as a parameter and which may be included in
product specifications Crossing the threshold should trigger some action such as generating an exception report
Time and Material Contract (T&M) A type of contract that is a hybrid contractual arrangement containing aspects
of both costreimbursable and fixedprice contracts Time and material contracts resemble costreimbursable type
arrangements in that they have no definitive end because the full value of the arrangement is not defined at the
time of the award Thus time and material contracts can grow in contract value as if they were costreimbursable
type arrangements Conversely time and material arrangements can also resemble fixedprice arrangements For
example the unit rates are preset by the buyer and seller when both parties agree on the rates for the category of
senior engineers
TimeScaled Schedule Network Diagram Any project schedule network diagram drawn in such a way that the
positioning and length of the schedule activity represents its duration Essentially it is a bar chart that includes
schedule network logic
ToComplete Performance Index (TCPI) A measure of the cost performance that is required to be achieved with
the remaining resources in order to meet a specified management goal expressed as the ratio of the cost to finish
the outstanding work to the remaining budget
Tolerance The quantified description of acceptable variation for a quality requirement
Tornado Diagram A special type of bar chart used in sensitivity analysis for comparing the relative importance of
the variables
Tool Something tangible such as a template or software program used in performing an activity to produce a
product or result
Total Float The amount of time that a schedule activity can be delayed or extended from its early start date without
delaying the project finish date or violating a schedule constraint
Tree Diagram A systematic diagram of a decomposition hierarchy used to visualize as parenttochild
relationships a systematic set of rules566 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
Trend Analysis An analytical technique that uses mathematical models to forecast future outcomes based on
historical results It is a method of determining the variance from a baseline of a budget cost schedule or scope
parameter by using prior progress reporting periods’ data and projecting how much that parameter’s variance from
baseline might be at some future point in the project if no changes are made in executing the project
Trigger Condition An event or situation that indicates that a risk is about to occur
Unanimity Agreement by everyone in the group on a single course of action
Validate Scope The process of formalizing acceptance of the completed project deliverables
Validated Deliverables Deliverables that are result of executing quality control process to determine correctness
Validation The assurance that a product service or system meets the needs of the customer and other identified
stakeholders It often involves acceptance and suitability with external customers Contrast with verification
Value Engineering An approach used to optimize project life cycle costs save time increase profits improve
quality expand market share solve problems andor use resources more effectively
Variance A quantifiable deviation departure or divergence away from a known baseline or expected value
Variance Analysis A technique for determining the cause and degree of difference between the baseline and
actual performance
Variance at Completion (VAC) A projection of the amount of budget deficit or surplus expressed as the
difference between the budget at completion and the estimate at completion
Variation An actual condition that is different from the expected condition that is contained in the baseline plan
Velocity A measure of a team’s productivity rate at which the deliverables are produced validated and
accepted within a predefined interval Velocity is a capacity planning approach frequently used to forecast
future project work
Verification The evaluation of whether or not a product service or system complies with a regulation requirement
specification or imposed condition It is often an internal process Contrast with validation
Voice of the Customer A planning technique used to provide products services and results that truly reflect
customer requirements by translating those customer requirements into the appropriate technical requirements for
each phase of project product development567©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
Glossary
WBS Dictionary A document that provides detailed deliverable activity and scheduling information about each
component in the work breakdown structure
Weighted Milestone Method An earned value method that divides a work package into measurable segments
each ending with an observable milestone and then assigns a weighted value to the achievement of each milestone
WhatIf Scenario Analysis The process of evaluating scenarios in order to predict their effect on project objectives
Work Authorization A permission and direction typically written to begin work on a specific schedule activity or
work package or control account It is a method for sanctioning project work to ensure that the work is done by the
identified organization at the right time and in the proper sequence
Work Authorization System A subsystem of the overall project management system It is a collection of formal
documented procedures that defines how project work will be authorized (committed) to ensure that the work is
done by the identified organization at the right time and in the proper sequence It includes the steps documents
tracking system and defined approval levels needed to issue work authorizations
Work Breakdown Structure (WBS) A hierarchical decomposition of the total scope of work to be carried out by
the project team to accomplish the project objectives and create the required deliverables
Work Breakdown Structure Component An entry in the work breakdown structure that can be at any level
Work Package The work defined at the lowest level of the work breakdown structure for which cost and duration
can be estimated and managed
Work Performance Data The raw observations and measurements identified during activities being performed to
carry out the project work
Work Performance Information The performance data collected from various controlling processes analyzed in
context and integrated based on relationships across areas
Work Performance Reports The physical or electronic representation of work performance information compiled
in project documents intended to generate decisions actions or awareness
Workaround A response to a threat that has occurred for which a prior response had not been planned or was
not effective569©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
INDEX
INDEX
A
AC See Actual cost
Acceptance criteria 123 526
Accepted deliverables See under Deliverables
Accuracy 228 526
level of 148 162 170 171 175
Acquire Project Team process 255 447 526
inputs 269
outputs 272
overview 267–269
tools and techniques 270–272
Acquisition 270 526
Acquisition activities 265
Action item tracking 27 83 91
Activity 526
Activity attributes 185 526
as input 155 162 167 175
as output 153
Activity code 526
Activity cost estimates 526
as input 163 210 322 361
as output 207
Activity duration 526
Activity duration estimate 170 527
See also Estimate Activity Durations process
as input 175 322
range of possible results 172
Activity identifier (ID) 153 527
Activity list 527
as input 155 162 167 175
as output 152
Activity network diagrams 246
See also Project schedule network diagram
Activity on Arrow (AOA) 246
ActivityonNode (AON) 156 246
See also Precedence Diagramming Method
Activity resource requirements 185 527
See also Estimate Activity Resources process
as input 167 175 259 361
as output 165
Activity sequencing See Sequence Activities process
Actual cost (AC) 218 219 527
Actual duration 527
Adaptive life cycles 46 527
Additional quality planning tools 240 527
Adjusting leads and lags 527
ADR See Alternative dispute resolution
Advertising 376 527
AE See Apportioned effort
Affinity diagram 115 245 528
Agile approach 1 114 187
Agreements 70 528
See also Collective bargaining agreements Service level
agreements
as input 211 382
as output 377–378
Alternative analysis 164 528
Alternative dispute resolution (ADR) 378 384 388
Alternatives generation 123 528
American National Standards Institute (ANSI) 418
Analogous estimating 169–170 204–205 528
Analytical techniques 91–92 103 147–148 198 315 376 528
stakeholder engagement level 402–403
ANSI See American National Standards Institute
AON See ActivityOnNode
Application area 528
Applying leads and lags 528
Apportioned effort (AE) 528
Approved change request 96 528
as input 82 251 382
as output 99570 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
INDEX
Approved change request review 252 528
Arbitrary total float 158
Arbitration 388
Assumption(s) 124 168 348 529
Assumptions analysis 325 529
Assumptions log updates 333 348
Attribute sampling 250 529
Audits 135 See also Quality audits
configuration verification and 97
inspections and 383
procurement 388
project success or failure 101
quality 247 556
risk 351 354 559
Authority 264 529
B
BAC See Budget at completion
Backlog 529
Backward pass 176 177 529
Balanced matrix organization 2324
Bar chart 182 183 529
Baseline 76 88 140 529 See also Cost baseline Rebaselining
Schedule baseline Scope baseline
Baseline schedule 218 See also Schedule baseline
Basis of estimates 529
as input 210
as output 208
Benchmarking 116 239 529
Best practices
benchmarking and 116 239
discretionary dependencies and 158
meeting types and 84
quality audits and 247
systematic achievement of 7
Beta distribution 171 206
Bias risk attitudes and 311
Bid(s) 207 368 371 See also Proposals
Bidder See Seller(s)
Bidder conferences 375 529
Bottomup estimating 205
definition 530
description of 164
Boundaries
process 241
project 54 424
Brainstorming 115 171 207 240
definition 530
meetings and 84
risk identification and 324
Budget 365 530
Budget at completion (BAC) 89 218 219 530
Budgeting 316
Budget reserve analysis 211
Buffer(s) 178 189 See also Reserve
Buffer management 178
Business case 69 530
Business need 68
Business partners 33 36
Business requirements 112 117
Business value 15–16 530
Buyer
definition 530
terms for 357
Buyerseller relationship 357
Buy versus lease decision 201
C
CA See Control account
Calendar 185 See also Project calendar Resource calendars
Capability Maturity Model Integrated (CMMI®) 229
Causal analysis 91
Causal influences 325–326
Causeandeffect diagram 236 325 530
CCB See Change control board
Central tendency 530
Certified Associate in Project Management (CAPM)® 1
Change control 530 See also Perform Integrated Change
Control process
management reserves and 213
meetings 99
procedures 27
Change control board (CCB) 74 96 530
change management plan and 96
meetings and 99
Change control system 531 See also Contract change control
system571©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
INDEX
Change control tools 99 531
Change log 100 407 531
Change management plansystem 138
Change request(s)
See also Approved change request Requested change
approved 528
approved change requests review 528
change control board and 96
constructive change 384
corrective actions and 353
definition 531
as input 97
as output 85 136 140 225 247 253 284–285 307–308
370 378 385 408 413
preventive actions and 191 353
types of 92–93
updates 348
Charter See Project charter
Checklist analysis 325 531
Checklist(s) 254 See also Quality checklists
Checksheets 237 531
Claim 531
Claims administration 384 531
Closed procurements 389 531
Close Procurements process 354 461 531
inputs 388
outputs 389
overview 386–387
tools and techniques 388–389
Close Project or Phase process 63 460–461 531
inputs 102
outputs 103–104
overview 100–101
tools and techniques 102–103
Closing Process Group 418
definition 531
overview 57–58 459–460
processes in 61
CMMI® See Capability Maturity Model Integrated
Code of accounts 132 531
Code of Ethics and Professional Conduct 1
Collaboration
project manager and 48 91 128 307
virtual collaboration techniques 25
Collective bargaining agreements 203 268
Collect Requirements process 105 430 531
inputs 113
outputs 117–119
overview 110–112
tools and techniques 114–117
Colocated teams 25 277 532
See also Project team(s) Team
Commercial information published 204
Communication
See also Control Communications process
activity dimensions of 287
channels 81 176 292 293 294
constraints 532
correspondence 386
diverse stakeholders and 287
informal 274 282
methods 294–295 407 532
models 293–294 298 300 532
organizational 20
project 301 305
skills 288
styles 21
technology 38 292–293 300
Communication planning
See also Plan Communications process Project
Communications Management
Communication requirements analysis 291–292 532
Communications management plan 296–297 532
as input 299 406
Communication technologies 38 292–293 300 532
See also Email Web conferencing
Competency 264
Compliance 267 532
Composite organization 25 26
Concurrent project phases 42
Conduct Procurements process 354 449 532
inputs 373–375
outputs 377–379
overview 371–373
tools and techniques 375–377
Confidentiality 293
Configuration control 96
Configuration identification 96572 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
INDEX
Configuration management plan 138
Configuration management system
change requests and 96
definition 532
Configuration status accounting 97
Configuration verification and audit 97
Conflict management 282–283 532
Conformance 235 532
Conformance work 533
Constraints 5 124 168 365 533
Context diagrams 117 533
Contingency 533
Contingency allowance See Reserve
Contingency plan 348
Contingency reserve 171 206 213 348 533
See also Reserve analysis
Contingent response strategies 346 533
Continuous distributions 337
Continuous improvement 229
Contract(s) 533
See also Time and Material Contract (T&M)
Union laborcontracts
amendments to 381
closure of 366 373 381
communications and 386
costreimbursable 363–364 535
documentation 389
early termination of 387
legal implications of 203 357 380 387
procurement contract 357
procurement negotiations and 375
requirements of 96 282 384
termination clause 378 380
terms and conditions 387
types of 362–363
Contract change control system 383 533
Contract management 355
Contractor See Seller(s)
Contractor conferences See Bidder conferences
Control 88 533
Control account (CA) 132 533
Control chart 238 533
Control Communications process 287 456–457 533
inputs 304–306
outputs 307–308
overview 303–304
tools and techniques 306–307
Control Costs process 193 455 534
inputs 216–217
outputs 225–226
overview 215–216
tools and techniques 217–225
Control limits 534 See also Specification limits
Control Procurements process 354 458 534
inputs 381–382
outputs 384–386
overview 379–381
tools and techniques 383–384
Control Quality process 227 456 534
inputs 250–251
outputs 252–254
overview 248–250
tools and techniques 252
Control Risks process 309 457 534
inputs 350–351
outputs 353–354
overview 349–350
tools and techniques 351–352
Control Schedule process 141 454–455 534
inputs 187–188
outputs 190–192
overview 184–187
tools and techniques 188–190
Control Scope process 105 454 534
inputs 137–138
outputs 139–140
overview 136–137
tools and techniques 139
Control Stakeholder Engagement process 391 458–459 534
inputs 411–412
outputs 413–415
overview 409–410
tools and techniques 412–413
Control thresholds 148 199
COQ See Cost of quality
Corrective action 81
change request for 85 93 353
definition 534573©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
INDEX
Correspondence 386
Cost(s) See also Actual cost
aggregation of 211 534
indirect 202 207 218 365
and time objectives 341
Cost aggregation 211 534
Cost baseline 191 216 226 233 534
as output 212–214 385
updates 347
Costbenefit analysis 235 535
Cost contingency reserve 207 349
Cost control See Control Costs process
Cost estimating See Estimate Costs process
Cost forecasts 89 225
Cost management See Project Cost Management
Cost management plan 216 226 534
as input 202 209 321 335
updates 347
Cost of quality (COQ) 206 229 231 235 535
Cost performance index (CPI) 89 219 535
Cost performance measurements 222
Cost Plus Award Fee contract (CPAF) 364 535
Costplus contract 344
Cost Plus Fixed Fee (CPFF) contract 364 535
Cost Plus Incentive Fee (CPIF) contract 364 535
Costreimbursable contracts 363–364 535
Cost risk simulation 340
Cost variance (CV) 89 218–219 535
CPAF See Cost Plus Award Fee contract
CPFF See Cost Plus Fixed Fee
CPI See Cost performance index
CPIF See Cost Plus Incentive Fee (CPIF) contract
CPM See Critical path method
Crashing 181 190 535
Create WBS process 105 431 535
inputs 127
outputs 131–132
overview 125–126
tools and techniques 128–131
Criteria 536
Critical chain 178
Critical chain method (CCM) 142 178 188 536
Critical path 176 536
Critical path activity 177 536
Critical path method (CPM) 142 176–177 188 246 536
Cultural diversity
crosscultural considerations 290
multinational team 294
projects characterized by 274
recognition and rewards 277
Culture See Organizational culture
Customer(s)
definition 536
external 70 380
in project team 36
request 9
requirements 228
users and 32
Customer satisfaction 229 536
CV See Cost variance
D
Data date 536
Data gathering and representation techniques 536
interviewing 336
probability distributions 337
Decision making
business case and 69
effective 284
quantitative risk information and 333 441
Decisionmaking skills 284
Decision tree analysis 339 536
Decodingencoding of messages 293–294
Decomposition 112 536
excessive 131
into work packages 120–131 128
Dedicated project team 37
Defect(s) 3
definition 536
identification of 237
number of 59 85 228
prevention of 229 243
Defect repair 81
change request for 82 85 93 97 140
definition 536
quality audits and 247
Define Activities process 141 432 536574 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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inputs 150–151
outputs 152–153
overview 149–150
tools and techniques 151–152
Define Scope process 105 430 537
inputs 121–122
outputs 123–124
overview 120–121
tools and techniques 122–123
Deliverable(s) See also Result Verified deliverables
accepted 102 135 389 526
definition 84 123 537
as input 251
as output 84
validated 566
verified 134 135
Delphi technique 171 207 324 537
Dependency See Logical relationship
Dependency determination 537
discretionary dependencies 158
external dependencies 158
internal dependencies 158
mandatory dependencies 157 545
Design of experiments (DOE) 239–240 537
Determine Budget process 193 437 537
inputs 209–211
outputs 212–214
overview 208–209
tools and techniques 211–212
Develop Project Charter process 63 426 537
inputs 68–70
outputs 71–72
overview 66–68
tools and techniques 71
Develop Project Management Plan process 63 429 537
inputs 74–75
outputs 76–78
overview 72–74
tools and techniques 76
Develop Project Team process 255 447 537
inputs 274–275
outputs 278–279
overview 273–274
tools and techniques 274–278
Develop Schedule process 141 434–435 537
inputs 175–176
outputs 181–184
overview 172–174
tools and techniques 176–180
Diagramming techniques 325–326 537
Dictatorship 115 537
Direct and Manage Project Work process 63 445–446 538
inputs 82–83
outputs 84–86
overview 79–81
tools and techniques 83–84
Discounted cash flow 195 198
Discrete effort 538
Discretionary dependencies 158 538
Diversity See Cultural diversity
Document(s) See also Project documents
analysis of 117 538
archival of 460
management hardcopy 300
phase closure 104
Documentation See also Requirements documentation
lessons learned 254 303 389 409 415
reviews 324 538
seller performance evaluation 382
technical 348
written 386
DOE See Design of experiments
DU or DUR See Duration
Duration (DU or DUR) 538 See also Most likely duration
Optimistic duration Pessimistic duration
Duration estimates See Activity duration estimates
Estimate Activity Durations process
E
EAC See Estimate at completion
EAC forecasts 220–221
Early Finish date (EF) 538
Early Start date (ES) 538
Earned value (EV) 132 218 219 538
analysis 224 351
Earned value management (EVM) 92 149 189
cost management plan and 199575©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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definition 538
reports 96
work packages control accounts and 217–219
Earned value performance 223
EF See Early Finish date
Effort 538
Emotional intelligence 538
Employees See also Human resource management plan
Staffing management plan
morale of 266 274
motivation of 273 447
virtual teams and 271
EMV See Expected Monetary Value (EMV) analysis
Encodingdecoding of messages 293–294
Enterprise environmental factors 29 127 539
examples of 146 151 155 169 197 203–204 234
as input 70 74–75 82 90 98 108 163 176 259 269
291 299 324 330 335 362 395 401
updates 279 285
Environmental consideration 9
ES See Early Start date
Escalation procedures 259
Estimate 376 539 See also Analogous estimating Basis of
estimates Independent estimates Parametric estimating
Threepoint estimate
Estimate Activity Durations process 141 433–434 539
inputs 167–169
outputs 172
overview 165–167
tools and techniques 169–171
Estimate Activity Resources process 141 433 539
inputs 162–163
outputs 165
overview 160–162
tools and techniques 164
Estimate at completion (EAC) 89 199 220–221 539
Estimate Costs process 193 436 539
inputs 202–204
outputs 207–208
overview 200–202
tools and techniques 204–207
Estimate to complete (ETC) 89 219–220 539
ETC See Estimate to complete
EV See Earned value
EVM See Earned value management
Execute 539
Executing Process Group 418 444–445
definition 539
overview 56
processes in 61
Expected Monetary Value (EMV) analysis 339 539
Expert judgment 76 91 98–99 109 122 128 147 152
164 169 198 204 211 263 306–307 315 327 333
341 346 365 376 397–398 401–402 412 539
External dependencies 158 540
F
Facilitated workshops 114 123 540
Facilitation techniques 71 76
Failure costs 235
Failure mode and effect analysis (FMEA) 92 540
Fallback plan 343 348 540
Fast tracking techniques 43 147 158 181 190 540
Fault tree analysis (FTA) 92
Fee 540
Feeding buffers 178
FF See Finishtofinish
FFP See Firmfixedprice contract
Final product service or result transition 103
Finish date 540
Finishtofinish (FF) 154 156 540
Finishtostart (FS) 154 156 540
Firm Fixed Price contract (FFP) 363 540
Fishbone diagram 236 325 See also Causeandeffect
diagram
Fixed formula method 540
Fixedprice contracts 362–363 540
Fixed Price Incentive Fee contract (FPIF) 363 541
Fixed Price with Economic Price Adjustment contracts (FPEPA)
363 541
Float See Free float Total float
Flowcharts 236 541
FMEA See Failure mode and effect analysis
Focus groups 114 278 402 412 541
Force field analysis 240
Forecast(s)
cost 89 225576 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
INDEX
definition 541
schedule 89 561
Forecasting methods 92 220–221
Forming storming norming performing adjourning 276
FPEPA
See Fixed Price with Economic Price Adjustment contract
FPIF See Fixed Price Incentive Fee contract
FPP See Firm Fixed Price contracts
Fragment network See Subnetwork
Framework for standard 418–419
Free float 177 541
FS See Finishtostart
FTA See Fault tree analysis
Fully plandriven life cycles See Predictive life cycle
Functional manager 33 541
Functional organization 22 541
Function points 250
Funding limit reconciliation 212 542
Funding requirements 214
G
Gantt chart 182 542
Globalizationglobal environment
cultural diversity and 274
cultural influences and 21
international factors 272
Governance See also Project governance
organizational 13
project 34–35 553
Government jurisdictions 376 See also Regulatory bodies
Government regulations 68 267
Grade of productsservices 228 542
Graphical analysis techniques 223
Ground rules project team 277 542
Group creativity techniques 115 542
Group decisionmaking techniques 115–116 135 171 207 542
Grouping methods 91
Guideline 542
H
Hammock activity 182 See also Summary activity
Hard logic 157 See also Mandatory dependency
Hierarchicaltype organization charts 261
Highlevel plan 45 316
Highlevel projectproduct description 72 108 121 314
Highlevel requirements 55 71 117 314 425
Highlevel vision 45 121
Highperformance teams 278
Histograms 238 265–266 340 542
Historical information 104 542
Historical relationships 212
Human resource management plan 264–267 542
as input 202 269 274 281 322
roles and responsibilities 264
updates 347
Human resource requirements
See Staffing management plan
I
ID See Activity identifier
Ideamind mapping 115 542
Identified risks list of 327
Identify Risks process 309 440 542
inputs 320–324
outputs 327
overview 319–321
tools and techniques 324–327
Identify Stakeholders process 391 426 543
inputs 394–395
outputs 398
overview 394–395
tools and techniques 395–398
IFB See Invitation for bid
Imposed date 543
Incentive fee 543
Incremental life cycle 543
Independent estimates 376 543
Indirect costs 202 207 218 365
Inflation allowance 202 207
Influence diagram 325–326 543
Influenceimpact grid stakeholder analysis 396
Influencing skills 284
Information See also Documentation Project information
confidentialitysensitivity of 293
and report flow 59577©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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urgency of need for 292
Information gathering techniques 324–325 543
Information management systems 300 306 412 543
See also Project management information system
Information storage and retrieval
See Corporate knowledge base
Initiating Process Group 418 543
overview 54–55 424–425
processes in 61
project boundaries and 54
Input 543 See also specific process
Inspection(s) 135
audits and 383 543
description of 252
Integrated change control
See Perform Integrated Change Control process
Interactive communication 295
Internal dependencies 158
International Organization for Standardization
(ISO) 228 418
Interpersonal skills 17–18 283–284 407
communication skills 288
decision making 284
definition 544
influencing 284
leadership 284
as soft skills 275
Interrelationship diagraphs 245 544
Interviews 114 325 336 544
Invitation for bid (IFB) 368 544
IPECC 231
Ishikawa diagrams 236 325
ISO See International Organization for Standardization
Issue 310 544
Issue log 544
as input 281 305 411
as output 408 414
Iterative and incremental life cycles 45–46
Iterative life cycle 121 544
J
JAD
See Joint Application Development (or Design) (JAD)sessions
Joint Application Development (or Design) (JAD) sessions 114
Joint venture 19 37 347
Judgment See Expert judgment
K
Key performance indicators (KPIs) 84
Knowledge Areas
mapping of 422–423
Process Groups and 61
Project Communications Management 289–290 553
Project Cost Management 192–195 553
Project Human Resource Management 255–257 554
Project Integration Management 63–65 554
Project Procurement Management 355–358 555
Project Quality Management 227 555
Project Risk Management 309–312 555
Project Scope Management 105 555
Project Time Management 142 556
role of 60
Knowledge base lessons learned 151 544
KPIs See Key performance indicators
L
Lag(s) 180
adjusting 190 527
applying 528
definition 159 544
example of 158
Late finish date (LF) 544
Late start date (LS) 544
Leadership skills 284
Lead(s) 180
adjusting 190 527
applying 528
definition 544
example of 158
Lean Six Sigma 229
Legal requirements 9 31
contractual obligations 203 361 380 387
Lessons learned 259
definition 544
documentation 254 303 389 409 415578 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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knowledge base 151 544
Leveling See Resource leveling
Level of accuracy 148 199
Level of effort (LOE) 153 545
Level of precision 199
LF See Late finish date
Life cycle See Incremental life cycle Iterative life cycle
Predictive life cycle Product life cycle Project life cycle
LOE See Level of effort
Log 545 See also Issue log
Logical relationship 154 159 545
See also Precedence relationship
LS See Late start date
M
Majority 115 545
Makeorbuy analysis 360 365 545
Makeorbuy decisions 370 545
as input 374
Manage Communications process 287 448 545
inputs 299–300
outputs 300–303
overview 297–299
tools and techniques 300–301
Management See also Portfolio management Program
management Project management Project Quality
Management
responsibility 229
skills 408 545
Management reserve 171 206 213 545
See also Reserve
Manage Project Team process 255 448 545
inputs 280–281
outputs 284–285
overview 279–280
tools and techniques 282–284
Manager(s) See also Project manager
functional 33 541
program 14
Manage Stakeholder Engagement process 391 449–450 545
inputs 406–407
outputs 408–409
overview 404–406
tools and techniques 407–408
Mandatory dependency 157 545
Market research 365 546
Master schedule 546 See also Schedule
Material 546
Matrixbased responsibility charts 262
Matrix diagrams 246 546
Matrix organization(s) 21 22–24 546
Meetings 307 352 398 402
change control board and 99
participants in 109 148 198 241
potential bidders and 366
projectrelated 295
risk management and 316
status review 297 352 413
types of 84 92 103
war room for 277
Methodology 546
Metrics See Quality metrics
Milestone See also Weighted milestone method
closure of phase 41
definition 546
zero duration of 153
Milestone charts 182 183
Milestone list 546
as input 155
as output 153
Milestone schedule 546 See also Master schedule
Mind mapping 115 542
Mitigation See Risk mitigation
Modeling
simulation and 340
techniques 180 189
Monitor 546
Monitor and Control Project Work process 63 452 546
inputs 88–91
outputs 92–94
overview 86–88
tools and techniques 91–92
Monitoring and Controlling Process Group 418 546
as background process 50
overview 57 450–451
processes in 61
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Monte Carlo simulation 171 340 547
Most likely duration 547 See also Duration
Multicriteria decision analysis 115 271–272 547
Multiphase projects 51 57 69 387 419 451
N
Nearcritical activity 547
Negative risks 203 310 311 344–345
Negotiated settlements 547
Negotiation 547
invitation for 368
procurement 377
staff assignments and 270
Network See Project schedule network diagram
Network analysis See Schedule network analysis
Networking 263 547
Network logic 547
Network path 547
Network schedule analysis activity 176
Node 547
Nominal group technique 115 171 207 240 547
Nonconformance 229
cost of 235
work 548
O
Objective 548
OBS See Organizational breakdown structure
Observations 116 282 548
Operational stakeholders 13–14
Operations management 12
OPM See Organizational Project Management
OPM3® See Organizational Project Management Maturity Model
Opportunities 345–346 548
Optimistic duration 548 See also Duration
Organization(s)
project management and 14–15
Organizational breakdown structure (OBS) 245 261 548
Organizational characteristics 21–26
Organizational charts 131 258 292
Organizational culture See also Cultural diversity
project team composition and 37
styles and 20–21
Organizational groups 33
Organizational knowledge base See Corporate knowledge base
Organizational procedures links 148 199
Organizational process assets 23–24
corporate knowledge base 28
definition 548
examples of 147 151 156 163 169 217 234 251
as input 70 75 83 91 98 102 109 122 127 139 188
197 204 211 259 281 291 299–300 306 324 330
336 362 375 395 401 407
processes and procedures 27–28
updates 103 140 192 226 248 254 285 302–303 308
354 389 409 415
Organizational project management (OPM) 7
Organizational project management maturity 548
Organizational strategy
project management operations management and 11
project management and 15
Organizational structures 21–26
composite organization 26
functional organization 22
interactions and 26
matrix organizations 22–24
overlapping project phases 43–44
projectized organization 25
projectrelated characteristics 21
reporting relationships and 17
Organizational theory 263
Organization charts and position descriptions 261–262
hierarchicaltype charts and 261
matrixbased charts 262
textoriented formats 262
Output(s) 548
Overlapping project phases 43
P
Parametric estimating 170 205 548
Pareto diagram 237 548
Path convergence 548
Path divergence 548
Payment systems 383 548
PBOs See Projectbased organizations (PBOs)580 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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PDCA See Plandocheckact (PDCA) cycle
PDM See Precedence Diagramming Method
PDPC See Process Decision Program Charts (PDPC)
Percent complete 549
Performance appraisals 282
Performance measurement baseline (PMB) 302 549
Performance reporting 300 383
See also Work performance reports
Performance reviews 188–189 222–223 549
procurement 383 552
Performing organization 549 See also Seller(s)
Perform Integrated Change Control process 63 452–453 549
inputs 97–98
outputs 99–100
overview 94–97
tools and techniques 98–99
Perform Qualitative Risk Analysis process 309 440–441 549
inputs 329–330
outputs 333
overview 328–329
tools and techniques 330–333
Perform Quality Assurance process 227 446 549
inputs 244–245
outputs 247–248
overview 242–244
tools and techniques 245–247
Perform Quantitative Risk Analysis process 309 441 549
inputs 335–336
outputs 341
overview 333–335
tools and techniques 336–341
Personnel assessment tools 278
PERT See Program Evaluation and Review Technique
Pessimistic duration 549 See also Duration
Phase See Project phase(s)
Phase closure 104 See also Close Project or Phase process
Phase gate 41 549
Phasetophase relationships 42–44
overlapping relationship 43
sequential relationship 42
Plan Communications Management process 287 439 549
inputs 290–291
outputs 296–297
overview 289–290
tools and techniques 291–295
Plan Cost Management process 193 435–436 550
inputs 196–197
outputs 198–200
overview 195–196
tools and techniques 198
Plandocheckact (PDCA) cycle 229
Plan Human Resource Management process 255 438 550
inputs 259–260
overview 258–259
tools and techniques 261–264
Planned risk responses 104 347–348
Planned value (PV) 218 219 550
Planning package 132 550 See also Control account
Planning Process Group 418 550
overview 55–56 427–428
processes in 61
Plan Procurement Management process 354 442–443 550
inputs 360–364
outputs 366–370
overview 358–360
tools and techniques 355–356
Plan Quality Management process 227 437–438 550
inputs 233–234
outputs 241–242
overview 230–233
tools and techniques 235–241
Plan Risk Management process 309 430 550
inputs 314–315
outputs 316–318
overview 313–314
tools and techniques 315–316
Plan Risk Responses process 309 442 550
inputs 343
outputs 346–347
overview 342–343
tools and techniques 343346
Plan Schedule Management process 141 431 550
inputs 146–147
outputs 148–149
overview 145–146
tools and techniques 147–148
Plan Scope Management process 105 429 550
inputs 108–109581©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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outputs 109–110
overview 107–108
tools and techniques 109
Plan Stakeholder Management process 391 443 550
inputs 400–401
outputs 403–404
overview 399–400
tools and techniques 401–403
Plurality 115 550
PM See Project manager
PMB See Performance measurement baseline PV baseline
PMIS See Project Management Information System
PMO See Project management office
Policy 550
Portfolio 551
Portfolio management 551
Positive risks 311 345–346
Powerinfluence grid stakeholder analysis 396
Powerinterest grid stakeholder analysis 396
Preassignment of team members 270
Prebid conferences See Bidder conferences
Precedence Diagramming Method (PDM) 156–157 246 551
Precedence relationship 156–157 551
See also Logical relationship
Precision 228 551
Predecessor activity 156 158–159 180 551
Predictive life cycle 44–45 551
Preferential logic 158 See also Discretionary dependencies
Presentations 302 409 415
Prevention 229 250
Preventive action 81 551
change request for 93 191 353
characteristics of 85
Prioritization matrices 246 551
Probabilistic analysis of project 341
Probability and impact matrix 318 331–332 551
Probability distributions 337
Procedure 551
Process analysis 247 552
Process assets See Organizational process assets
Process closure See Closing Process Group
Process Decision Program Charts (PDPC) 245 552
Process(es)
definition 551
descriptions of 50 149 200
Processes and procedures 27–28
See also specific process or procedure
Process flow charts 325
Process flow diagram 419–420
Process Groups
categories of 48–49
Closing Process Group 57–58
Executing Process Group 56
Initiating Process Group 54–55
interactions of 51 420–421
Knowledge Areas mapping and 61
Monitoring and Controlling Process Group 57
as overlapping activities 51
overview 5 52–53
Planning Process Group 55–56
Process improvement models 229
Process improvement plan 552
as input 244
as output 241
Process interactions
See Project management process interactions
Procurement audits 388 552
Procurement documents 552
as input 323 373 382 388 394
as output 368
procurement contract 357 380
Procurement file 389
Procurement management plan 552
as input 373
as output 366–367 385
updates 347
Procurement negotiations 377 388
Procurement performance reviews 383 552
Procurement statement of work 552
as input 374
as output 367
Product 552
Product analysis 122 552
Product life cycle 552
Productoriented processes 47–48
Product quality improvement 229
Product requirements 64 106 114 115 118 227
Product scope 105 552582 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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Product scope description 68 123 552
Program(s) 553
Program Evaluation and Review Technique (PERT) 170
246 553
Program management
definition 553
description of 9
OPM and 6
portfolio management and 6–7
project management and 6–7
Program manager 14
Progressive elaboration 5
definition 553
project management plan and 55
prototypes and 116
rolling wave planning as 151
Project(s)
boundaries 54 424
definition 3–4 417 553
portfolios programs and 4–5
temporary nature of 35
Projectbased organizations (PBOs) 14 553
Project boundaries 54 424
Project calendar 553
as input 188
as output 184
Project charter 553 See also Develop Project Charter process
authorization and 54 424
description of 67
as input 74 108 113 121 146 197 394
as output 71–72
project scope statement and 124
Project closure
documents 104 354
guidelines 75
Project communication requirements
See Communication requirements analysis
Project communications 301 305
Project Communications Management 287308
definition 553
overview 287–288
Project Cost Management 193226 553
Project documents See also Documents
as input 245 251 323 374 411–412
project management plan and 78
updates 86 94 100 125 132 136 140 160 165 172
185 191 208 214 226 242 248 285 297 302 308
333 341 354 370 379 385 404 409
Project execution See Executing Process Group
Project files 104
Project funding requirements 553
as input 217
as output 214
Project governance 34–35 553 See also Governance
Project Human Resource Management 255285 554
Project initiation 554
Project Integration Management 63104
definition 554
overview 63–65
Projectized organization 25 556
Project life cycle
adaptive life cycles 46
characteristics of 38–40
cost staffing levels and 39–40
definition 38 554
iterative and incremental life cycles 45–46
overview 38
predictive life cycles 44–45
project time and 39
Project management
business value and 16
definition 417 554
description of 5–6
iterative nature of 422
operational stakeholders in 13–14
operations management and 12
organizational governance and 13
organizational influences on 19
organizational strategy and 11 15
organizations and 14–15
Process Groups in 5
process interactions 50–51 53 422–423
Project management body of knowledge 554
Project management information system (PMIS) 57 58 92
151 155 460 554
Project Management Knowledge Areas 554
Project management office (PMO) 99 554
Project management plan 554 583©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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See also Develop Project Management Plan process
components and project documents 78
cost control and 216
cost management plan and 196
elements of 146
as input 82 88–89 97 102 108 134 187 233 250 259
290 304–305 314 350 360 381 388 400 411
as output 76–77 140
progressive detailing of 55
schedule management plan and 142
scope control and 138
updates 85–86 93 100 140 184 191 225–226 248
253 272 284 302 308 346–347 353 379 385 408
413–414
Project management processes
categories of 48–49 418
interactions 50–51 53
mapping of 422–423
overview 47–49
Project Management Process Groups See also Process Groups
definition 554
and Knowledge Area Mapping 422–423
linked by outputs 419
Project management software 154 164 189 207 225
Project management staff 555
Project management system 555
Project management team 77 555
See also Project team(s)
Project management tools electronic 300
Project manager (PM)
definition 555
interpersonal skills 17–18
responsibilitiescompetencies 17
role of 12 16–17
Project objectives agreed upon 278
Project organization chart 265 555
Project performance appraisals 282
Project phases 41–46 555
overlapping of 43
overview 41–42
phasetophase relationships 42–44
sequential relationship 42–43
singlephase project 42
Project presentations 302 409 415
Project Procurement Management 355389
definition 555
overview 355–358
Project Quality Management 227254
See also Quality management plan
definition 555
overview 227–231
Project records 302 409 415
Project reports 302 409 415
Project requirements 112 118
Project risk 310
Project Risk Management 309354
definition 555
overview 309–312
Project schedule 191 555
development 142
as input 187 203 210 361
as output 182–184
presentation 142
Project schedule model
development 148
maintenance 148
Project schedule network diagram 182
definition 555
description of 159–160
as input 175
Project scope 105 555 See also Control Scope process
Define Scope process Verify Scope process
Project scope creep 108 See also Verify Scope process
Project Scope Management 105140 555
overview 105–106
Project scope statement 105 131 202 210 233
assumptions and constraints 168
contents of 360
definition 556
as input 127 155 175
as output 123–124
project charter and 124
Project sponsor 32
Project staff assignments
as input 175 275 281
as output 272
Project Stakeholder Management 391415
definition 556584 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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overview 391–392
Project stakeholders See Stakeholder(s)
Project statement of work See Statement of work
Project team(s)
colocation of 25 277 532
composition of 37–38
definition 556
influencing 256
multinational 294
preassignment of members 270
professional and ethical behavior 256
roles of members of 36
stakeholders and 30–31
virtual 25 38 271
Project team directory 556
Project Time Management 141192
definition 556
overview 141–144
Proposal(s) See Seller proposals
Proposal evaluation techniques 375 556
Proprietary rights 369
Prototypes 116 556
Pull communication 295
Push communication 295
PV See Planned value
PV baseline (PMB)
Q
QFD See Quality Function Deployment
Qualified seller list 386
Qualitative analysis 343
See also Perform Quantitative Risk Analysis process
Quality 228
See also Plan Quality process Seven basic quality tools
audits for 247 556
definition 556
Quality assurance See Perform Quality Assurance process
Quality audits 247 556 See also Audits
Quality checklists 556
as input 250
as output 242
Quality control measurements 556
as input 244
as output 252
Quality function deployment (QFD) 114 556
Quality management See Project Quality Management
Quality management and control tools 240 245–246 556
Quality management plan 557
See also Project Quality Management
as input 244 321
as output 241
updates 347
Quality management system 557
Quality metrics 557
as input 244 250
as output 242
Quality planning tools 527
See also Additional quality planning tools
Quality policy 557
Quality requirements 112 557
Quality standards See Standard
Quality tools See Seven basic quality tools
Quantified risks prioritized list of 341
Quantitative risk analysis and modeling techniques 338–340 557
expected monetary value (EMV) analysis 339
modeling and simulation 340
sensitivity analysis 338
Quantitative risk analysis results trends in 341
Questionnaires and surveys 116 557
R
RACI See Responsible accountable consult and inform
(RACI) chart
RAM See Responsibility assignment matrix
RBS See Resource breakdown structure
Risk Breakdown Structure
Rebaselining 444 See also Baseline
Recognition and rewards 266 277
Records project 302 409 415
Records management system 384 389 557
Regression analysis 91 103 557
Regulation 557
Regulatory bodies 398 402
See also Government regulations
Report(s)
information flow and 59585©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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project 302 409 415
work performance 59 97
Reporting formats 149 200 318
Reporting systems 557
Requested change 558 See also Change requests
Request for information (RFI) 68 368 557
Request for proposal (RFP) 68 368 558
Request for quotation (RFQ) 368 558
Requirement(s) See also Product requirements
definition 558
types of 112
Requirements documentation 558
See also Collect Requirements process Contracts
as input 121 127 134 138 234 361
as output 117
Requirements management plan 110 113 138 558
Requirements traceability matrix 558
as input 134 138
as output 118–119
Reserve 558 See also Management reserve
Reserve analysis 92 171 206 211 225 352 558
See also Contingency reserve
Residual risk 350 558
Resolution of conflicts See Conflict management
Resource(s) 163 558
Resource assignments 182
Resource breakdown structure (RBS) 261 558
as input 168 175
as output 165
Resource calendars 558
as input 163 168 175 210 275
as output 272 378
staffing management plan and 265
Resource histogram 265–266 559
Resource leveling 179 559
Resource optimization techniques 179–180 189 559
Resource requirements See Activity resource requirements
Human resource requirements
Resource smoothing 180 559
Responsibility 264 316 559
Responsibility assignment matrix (RAM) 262 559
Responsible accountable consult and inform (RACI) chart 262
Result 559 See also Deliverable(s)
Result transition 103
Reviews See also Performance reviews Program Evaluation
and Review Technique
approved change requests 252 528
documentation 324 538
peer 252
procurement performance 383 552
product 135
risk 354
Rewards See Recognition and rewards
Rework 235 559
RFI See Request for information
RFP See Request for proposal
RFQ See Request for quotation
Risk 559 See also Negative risks Opportunities
Positive risks Threat(s)
Risk acceptance 345–346 559
Risk analysis See also Perform Qualitative Risk Analysis
process Perform Quantitative Risk Analysis process
Risk appetite 311 559
Risk audits 351 354 559
Risk avoidance 344 559
Risk breakdown structure (RBS) 245 317 324 560
Risk categorization 332 560
Risk category 317 560
Risk data quality assessment 332 560
Risk event 52 163 203 225
Risk identification See Identify Risks process
Risk impact See Probability and impact matrix
Risk management See also Project Risk Management
Risk management plan 560
See also Plan Risk Management process
as input 321 329 335 343
as output 316–318
Risk mitigation 345 560
Risk probability and impact 317 330
Risk reassessment 351 354 560
Risk register 191 330 560
identified risks list 327
as input 163 168 175 203 210 234 330 335 343
350 361
as output 185
potential responses list 327
updates 333 341
Risk responses 311 354 586 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
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See also Plan Risk Responses process
Risk reviews 354
Risks secondary 343 348 562
Risk score 332
Risk threshold 311 560
Risk tolerance 311 329 560
Risk transference 344 560
Risk urgency assessment 332 560
Role(s) 264 316 560
Rolling wave planning 45 131 152 560
ROM See Rough order of magnitude
Root cause analysis 92 325 561
Rules of performance measurement 149 199
S
Safety 267
Salience model stakeholder analysis 396
Scatter diagram 238 561
Schedule 561
See also Master schedule Project schedule
Schedule model
Schedule baseline 191 196 233 561
See also Baseline schedule Control Schedule process
as output 181 385
updates 347
Schedule compression 190 561
Schedule compression techniques
crashing 181
fast tracking 158 181
Schedule control See Control Schedule process
Schedule data 142 191 561
as input 188
as output 184
Schedule development See Develop Schedule process
Schedule forecasts 561
as input 89
as output 190
Schedule management plan 142 561
See also Develop Schedule process criteria and activities
established by 148–149
as input 150 154 162 167 175 321 335
updates 191 347
Schedule model 142 561
Schedule network analysis 561 See also Backward pass
Critical chain method Critical path method Resource leveling
Schedule network templates 561
Schedule performance index (SPI) 89 149 189 219 561
Schedule variance (SV) 89 149 189 218 561
Scheduling
methods 142 151
overview 142 144
Scheduling software 158 177
Scheduling tool 181 190 561
Scope 562 See also Product scope Project scope
Scope baseline 101 138 146 196 562 See also Control
Scope process
elements of 233
as input 151 202–203 210 322 329
as output 131–132
updates 140 347
Scope change 48 562
Scope creep 137 562
Scope management plan 138 562
as input 113 121 127
as output 109–110
Scope statement See Project scope statement
Secondary risks 343 350 562
Selected sellers 377 562
Seller(s) 33 See also Buyerseller relationship
Project Procurement Management
definition 562
performancerelated documentation 382
prequalified 361
in project team 36
qualified seller list 386
selected 377 562
Seller performance evaluation documentation 382
Seller proposals
definition 562
as input 373
Sensitivity analysis 338 562
Sequence Activities process 141 432 562
inputs 154–156
outputs 159–160
overview 153–154
tools and techniques 156–159
Sequencing 154587©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
INDEX
Sequential relationship 42–43
Service level agreements (SLAs) 70
Seven basic quality tools (7QC Tools) 236–239 252 562
causeandeffect diagrams 236
checksheets 237
control charts 238
flowcharts 236
histograms 238
scatter diagrams 238
storyboard illustrating 239
SF See Starttofinish
Simulation 180 562
Singlephase project 42
SIPOC model 236 237
Slack See Free float Total float
SLAs See Service level agreements
Slippage 178
SMEs See Subject matter experts
Soft logic 158 See also Discretionary dependency
Soft skills 275
Software 306 See also Project management software
Scheduling software
Software development 116
grade and quality 228
subsystem interfaces 155
Solution requirements 112 118
Source selection criteria 368–369 373 563
SOW See Statement of work
Specification 563
Specification limits 563 See also Control limits
SPI See Schedule performance index
Sponsor 563 See Project sponsor
Sponsoring organization 563
SS See Starttostart
Staffing management plan 258–259 265267 563
See also Human resource management plan
Stage gate 41
Stakeholder(s) 30–33
See also Identify Stakeholders process Manage
Stakeholder Engagement process Project stakeholder
definition 563
engagement level of 402–403
examples of 33
expectations 31
external 34 54 371 424
internal 33 54 371 424
key 93 114 117 248 277 395
requirements 112 117
tolerances 318
Stakeholder analysis 395–397 563
Stakeholder management plan 563
as input 113 406
as output 403–404
Stakeholder notifications 302 409 415
Stakeholder register 563
as input 113 234 291 322 361 400
as output 398 414
Standard 563
Start date 564
Starttofinish (SF) 156 564
Starttostart (SS) 154 156 564
Statement of work (SOW) 68 367 564
Statistical sampling 240 252 564
Storyboarding 116 239 246
Strategic planning
organizational strategy and 11
statement of work and 68
Strengths weaknesses opportunities and threats
See SWOT analysis
Strong matrix organizations 24
Subcontractors 270
Subject matter experts (SMEs) 71 99 315 398
Subnetwork 564
Subproject 564
Subsidiary plans 77 88
Successor activity 156 158–159 180 564
Summary activity 564
Supplier See Seller(s)
Surveys 116 557
SV See Schedule variance
SWOT analysis 326 564
System or process flow charts 325
T
T&M See Time and Material Contract
Tailor 564
Tailoring 48 459588 ©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
INDEX
TCPI See Tocomplete performance index
Team See Colocated teams Develop Project Team process
Project management team Project team(s)
Teambased approaches 171 207
Teambuilding activities 276
Team performance assessments 278–279 281
Teamwork 274 See also Develop Project Team process
Technical documentation 382
Technical documentation updates 348
Technical performance measurement 352
Technique 564
Templates 564
Textoriented formats roles and responsibilities 262
Threat(s)
definition 564
strategies for 344–345
Threephase project 42–43
Threepoint estimate 170–171 205–206 565
Threshold 565
Time and Material Contract (T&M) 364 565
Time management See Project Time Management
Timescaled schedule network diagram 565
Tocomplete performance index (TCPI) 221–222 565
Tolerance 250 565
Tools 300 565 See also Seven basic quality tools
Tornado diagram 338 565
Total float 158 177 565
Total Quality Management (TQM) 229
TQM See Total Quality Management
Training 275
Training needs 266
Transition requirements 112 118
Tree diagram 245 565
Trend analysis 92 103 188 223 352 566
Triangular distribution 171 206
Trigger condition 566
Tuckman ladder of team development 276
U
Unanimity 115 566
Union laborcontracts 203 See also Contracts
Updates change request for 85
User(s)
customers and 32
in project team 36
V
VAC See Variance at completion
Validated changes 90 252
Validated deliverables 566
Validate Scope process 105 453 566
inputs 134–135
outputs 135–136
overview 133–134
tools and techniques 135
Validation 566
Value business 15–16
Value analysis 122 352
See also Expected Monetary Value (EMV) analysis
Value engineering 566
Variance 566
Variance analysis 92 139 189 222 352 566
Variance at completion (VAC) 566
Variation 566
Velocity 566
Vendor See Seller(s)
Vendor bid analysis 207
Vendor conferences See Bidder conferences
Verification 566
Verified deliverables 134
as input 135
as output 253
Virtual meetings 84
Virtual project teams
collaboration techniques and 25 38
virtual team model 271
VOC See Voice of the Customer
Voice of the Customer (VOC) 114 566
W
Watch list risks and 330 332 333 343 347–348 350
WBS See Work breakdown structure
WBS dictionary 105 132 202 210 233 360 567
WBS ID 153
Weak matrix organizations 22589©2013 Project Management Institute A Guide to the Project Management Body of Knowledge (PMBOK® Guide) – Fifth Edition
INDEX
Weighted milestone method 567
Whatif scenario analysis 180 567
Workaround 567
Work authorization 567
Work authorization system 146 567
Work breakdown structure (WBS) 105 202 210
See also Create WBS process
bottomup approach 129
contents of 360
definition 567
description of 132 233
hierarchicaltype charts and 261
topdown approach 129
Work breakdown structure component 567
Work packages 128 150 165 567
Work performance data 59 81 567
as input 135 139 187 217 251 305 351 382 411
as output 85
Work performance information 59 567
as input 90 382
as output 136 139 190 225 253 307 353 384 413
Work performance reports 59 567
as input 97 281 299 351 382
as output 93
Workshops See Facilitated workshops
Written documentation 386
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